DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
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SEC-registered adviser
H•••••• F•••••••• S•••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Jul 3, 2018 · 35 filings
SEC status approved since Aug 6, 2018
RAUM
$262M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$260M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$43.7M
derived; firm RAUM over IAPD count
Employees
8
5 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
35 filings and snapshots on the tape
RAUM$262M as of Mar 31, 2026
Feb 26, 2019$97.5M then
HNW client RAUM$155M as of Mar 31, 2026
Feb 26, 2019$26.5M then
State-registered IARs (5.B.3)5 as of Mar 31, 2026
Feb 26, 20195 then
Employees (5.A)8 as of Mar 31, 2026
Feb 26, 20199 then
Private funds: no history
RAUM +23% over the last fiscal year+19% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- RAUM per advisor
- $43.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 65derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.6MderivedHNW RAUM over HNW clients
- Average account
- $218,160derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +23%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -1.5%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisers, educational seminarsreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$155M59%
- Individuals$105M40%
- Pension and profit-sharing plans$2.1M0.8%
- Charitable organizations$146,0930.1%
- Corporations and businesses$350.0%
- Individual clients
- 297reported
- HNW clients
- 94reported
- Pension plan clients
- 2reported
- Charitable clients
- 1reported
- Accounts
- 1,203reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••• J••••• B•••• | Winston Salem, Nc | Sep 15, 2011 | 22 y | 2 |
| S•••• D•••••• W••••• | Winston Salem, Nc | Oct 4, 2011 | 23 y | 2 |
| J••••• M• P•••••• | Winston Salem, Nc | May 15, 2017 | 12 y | 0 |
| J•••• G•••••• J•••••• | Clemmons, Nc | Feb 5, 2021 | 18 y | 1 |
| S••••• S•••••• M•••••• | Winston Salem, Nc | Aug 23, 2024 | 13 y | 0 |
| A•••• B•••••••• M••••••••• | Winston Salem, Nc | Aug 29, 2026 | 10 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- M•••••• G•••••• D•• to F••••• C•••••• A•••••••• L••Apr 21, 2023 · RIA to RIA
- S•••••• T••• D•• to F••••• C•••••• A•••••••• L••Feb 10, 2021 · RIA to RIA
Joined, latest
- J•••• G•••••• J•••••• from A•••••• A••••••• S•••••••Feb 5, 2021 · Affiliated broker-dealer or bank to independent RIA
- S•••••• T••• D•• from B••• O• A•••••• I••••••••• S•••••••• I•••Sep 17, 2012 · Other
- S•••• D•••••• W••••• from R•••• I••••••••• A••••••• L••Oct 4, 2011 · Other
- J••• J••••• B•••• from R•••• I••••••••• A••••••• L••Sep 15, 2011 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• J•••• J••••• · Managing Member/Ccocontrolsince 07/2011 · owns 75% or more
Related persons
Schedule D 7.A
- J•••• G• J••••••• C••• P•••insurancen
- J••• B••••real estaten
- J••• B••••real estaten
- J••••• M• P••••••real estaten
- S•••• W•••••real estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Winston Salem, Nc · principal | 6 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Clemmons, NC1 employees
What changed
consecutive filings, newest first
- Accounts · 1,136 to 1,203Mar 31, 2025 to Mar 31, 2026
- Charity clients · 2 to 1Mar 31, 2025 to Mar 31, 2026
- HNW clients · 88 to 94Mar 31, 2025 to Mar 31, 2026
- Individual clients · 309 to 297Mar 31, 2025 to Mar 31, 2026
- Pension plan clients · unset to 2.0Mar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $213M to $262MMar 31, 2025 to Mar 31, 2026
- HNW RAUM · $105M to $155MMar 31, 2025 to Mar 31, 2026
- Individual RAUM · $107M to $105MMar 31, 2025 to Mar 31, 2026
- Pension RAUM · unset to 2136321.0Mar 31, 2025 to Mar 31, 2026
- RAUM · $213M to $262MMar 31, 2025 to Mar 31, 2026
- Accounts · 1,073 to 1,136Oct 30, 2024 to Mar 31, 2025
- Advisory employees · 4 to 5Oct 30, 2024 to Mar 31, 2025
- HNW clients · 140 to 88Oct 30, 2024 to Mar 31, 2025
- Individual clients · 228 to 309Oct 30, 2024 to Mar 31, 2025
- Financial planning clients · 1-10 to 1-10Oct 30, 2024 to Mar 31, 2025
- State-registered IARs · 4 to 5Oct 30, 2024 to Mar 31, 2025
- Discretionary RAUM · $178M to $213MOct 30, 2024 to Mar 31, 2025
- HNW RAUM · $123M to $105MOct 30, 2024 to Mar 31, 2025
- Individual RAUM · $54.7M to $107MOct 30, 2024 to Mar 31, 2025
- RAUM · $178M to $213MOct 30, 2024 to Mar 31, 2025
- Accounts · 1,040 to 1,073Sep 13, 2023 to Mar 28, 2024
- HNW clients · 113 to 140Sep 13, 2023 to Mar 28, 2024
- Individual clients · 400 to 228Sep 13, 2023 to Mar 28, 2024
- Discretionary RAUM · $170M to $178MSep 13, 2023 to Mar 28, 2024
- HNW RAUM · $77.0M to $123MSep 13, 2023 to Mar 28, 2024
- Individual RAUM · $92.4M to $54.7MSep 13, 2023 to Mar 28, 2024
- RAUM · $170M to $178MSep 13, 2023 to Mar 28, 2024
- Accounts · 1,036 to 1,040May 4, 2023 to Sep 13, 2023
- HNW clients · 107 to 113May 4, 2023 to Sep 13, 2023
- Individual clients · 404 to 400May 4, 2023 to Sep 13, 2023
- Discretionary RAUM · $161M to $170MMay 4, 2023 to Sep 13, 2023
- HNW RAUM · $70.6M to $77.0MMay 4, 2023 to Sep 13, 2023
- Individual RAUM · $90.1M to $92.4MMay 4, 2023 to Sep 13, 2023
- RAUM · $161M to $170MMay 4, 2023 to Sep 13, 2023
- Accounts · 1,049 to 1,036Feb 9, 2023 to Apr 21, 2023
- Advisory employees · 5 to 4Feb 9, 2023 to Apr 21, 2023
- HNW clients · 110 to 107Feb 9, 2023 to Apr 21, 2023
- Individual clients · 406 to 404Feb 9, 2023 to Apr 21, 2023
- Employees · 9 to 8Feb 9, 2023 to Apr 21, 2023
- State-registered IARs · 5 to 4Feb 9, 2023 to Apr 21, 2023
Signals
2 dated events
- M•••••• G•••••• D•• left H•••••• F•••••••• S•••••••• L•• for F••••• C•••••• A•••••••• L•• (registered 2023-06-15)Apr 21, 2023 · Advisor changed firm · fact
- H•••••• F•••••••• S•••••••• L•• filed its initial SEC registration (Form ADV)Jul 3, 2018 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business phone
- 336-659-7061reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 336-659-7060reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 866-408-1437reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/3304632?TRK=VSRP_COMPANIES_CLUSTER_NAMEreportedpublic record, Form ADV, Sep 19, 2026
- Website
- H••••••FS.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 336-659-7060reportedpublic record, Form ADV, Mar 31, 2026
- Team page
- horizonfs.com/our-teamreportedpublished by the firm, firm site, Sep 15, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $43.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026