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.
SEC-registered adviser
Horizons Sustainable Financial Services, Inc.
Latest filing Jan 14, 2026
First filing on the tape Feb 22, 2021 · 11 filings
SEC status approved since Mar 25, 2021
RAUM
$151M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$150M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$25.2M
derived; firm RAUM over IAPD count
Employees
7
6 advisory (5.B.1)
Offices
5
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$151M as of Jan 14, 2026
Mar 25, 2022$116M then
HNW client RAUM$125M as of Jan 14, 2026
Mar 25, 2022$56.0M then
State-registered IARs (5.B.3)6 as of Jan 14, 2026
Mar 25, 20225 then
Employees (5.A)7 as of Jan 14, 2026
Mar 25, 20227 then
Private funds: no history
RAUM +15% over the last fiscal year+11% a year over threeIARs 6 to 6
Practice profile
derived from the filing of Jan 14, 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
- $25.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 52derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.2MderivedHNW RAUM over HNW clients
- Average account
- $481,395derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 1.0derived6 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -4.6%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Ownership
- controlled by a public reporting companyderived
- 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)
- controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$125M83%
- Individuals$25.6M17%
- Charitable organizations$666,0000.4%
- Individual clients
- 209reported
- HNW clients
- 101reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 314reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 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 |
|---|---|---|---|---|
| Frederic Paul Perret | Santa Fe, Nm | Aug 14, 2020 | 31 y | 2 |
| Alan Dale GammelCertified Financial Planner | Puyallup, Wa | Jun 7, 2021 | 41 y | 3 |
| Valeria Genese Cera Primero | Santa Fe, Nm | Sep 23, 2024 | 12 y | 0 |
| Johann Albert KlaassenCertified Financial Planner | Santa Fe, Nm | Jan 13, 2025 | 25 y | 3 |
| Prisma Avery | Santa Fe, Nm | Jan 27, 2025 | 15 y | 0 |
| Megan Elizabeth BuchananCertified Financial Planner | Santa Fe, Nm | May 14, 2025 | 12 y | 1 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months1 left in 90 days0 joined in 90 daysdeparture rate 17% of current headcount1 left over 36 months
Left, latest
- Jacob Ifshin to Impact InvestorsJul 2, 2026 · RIA to RIA
Joined, latest
- Megan Elizabeth Buchanan from Silver Oak Advisory GroupMay 14, 2025 · RIA to RIA
- Alan Dale Gammel from First Affirmative Financial Network LLCJun 7, 2021 · RIA to RIA
- Frederic Paul Perret from First Affirmative Financial Network LLCAug 14, 2020 · RIA to RIA
- Johann Albert Klaassen from Cambridge Investment Research Advisors, Inc.May 1, 2013 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Albert Johann Klaassen · President/President/Principal Shareholder/Chief Compliance Officercontrolsince 01/2023 · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Santa Fe, Nm · principal | 5 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
- Birmingham, AL1 employees
- , 1 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- account count collapseChange between filings · filing Jan 14, 2026accounts (Item 5.F.2.f) moved from 714.0 to 314.0 (-56.0%) between the annual amendments of 2025-03-24 and 2026-01-14; the peer median change was +5.0% (3688 comparable advisers, 3.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,688) · 2.5% percentile
- HNW share shiftChange between filings · filing Jan 14, 2026HNW share of RAUM moved from 57.0% to 83.0% between the annual amendments of 2025-03-24 and 2026-01-14peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 714 to 314Oct 16, 2025 to Jan 14, 2026
- Charity clients · 5.0 to unsetOct 16, 2025 to Jan 14, 2026
- HNW clients · 77 to 101Oct 16, 2025 to Jan 14, 2026
- Individual clients · 248 to 209Oct 16, 2025 to Jan 14, 2026
- Discretionary RAUM · $131M to $151MOct 16, 2025 to Jan 14, 2026
- HNW RAUM · $74.9M to $125MOct 16, 2025 to Jan 14, 2026
- Individual RAUM · $56.1M to $25.6MOct 16, 2025 to Jan 14, 2026
- Non-discretionary RAUM · $405,809 to $333,000Oct 16, 2025 to Jan 14, 2026
- RAUM · $132M to $151MOct 16, 2025 to Jan 14, 2026
- Accounts · 740 to 714Jul 3, 2024 to Mar 24, 2025
- Advisory employees · 4 to 6Jul 3, 2024 to Mar 24, 2025
- Charity clients · 6 to 5Jul 3, 2024 to Mar 24, 2025
- HNW clients · 80 to 77Jul 3, 2024 to Mar 24, 2025
- Individual clients · 259 to 248Jul 3, 2024 to Mar 24, 2025
- Pension plan clients · 0.0 to unsetJul 3, 2024 to Mar 24, 2025
- Employees · 5 to 7Jul 3, 2024 to Mar 24, 2025
- Financial planning clients · 1-10 to 251-500Jul 3, 2024 to Mar 24, 2025
- State-registered IARs · 4 to 6Jul 3, 2024 to Mar 24, 2025
- Other offices · 3 to 5Jul 3, 2024 to Mar 24, 2025
- Discretionary RAUM · $134M to $131MJul 3, 2024 to Mar 24, 2025
- HNW RAUM · $83.1M to $74.9MJul 3, 2024 to Mar 24, 2025
- Individual RAUM · $50.1M to $56.1MJul 3, 2024 to Mar 24, 2025
- Non-discretionary RAUM · $283,761 to $405,809Jul 3, 2024 to Mar 24, 2025
- Pension RAUM · 0.0 to unsetJul 3, 2024 to Mar 24, 2025
- RAUM · $134M to $132MJul 3, 2024 to Mar 24, 2025
- Accounts · 766 to 740Mar 30, 2023 to Mar 6, 2024
- Charity clients · 5 to 6Mar 30, 2023 to Mar 6, 2024
- HNW clients · 72 to 80Mar 30, 2023 to Mar 6, 2024
- Individual clients · 262 to 259Mar 30, 2023 to Mar 6, 2024
- Employees · 6 to 5Mar 30, 2023 to Mar 6, 2024
- Discretionary RAUM · $111M to $134MMar 30, 2023 to Mar 6, 2024
- HNW RAUM · $73.4M to $83.1MMar 30, 2023 to Mar 6, 2024
- Individual RAUM · $37.1M to $50.1MMar 30, 2023 to Mar 6, 2024
- Non-discretionary RAUM · $395,418 to $283,761Mar 30, 2023 to Mar 6, 2024
- RAUM · $111M to $134MMar 30, 2023 to Mar 6, 2024
- Accounts · 670 to 766Oct 6, 2022 to Mar 30, 2023
- Advisory employees · 6 to 4Oct 6, 2022 to Mar 30, 2023
- Advisory activities · 5 to 4Oct 6, 2022 to Mar 30, 2023
- Charity clients · 4 to 5Oct 6, 2022 to Mar 30, 2023
- HNW clients · 51 to 72Oct 6, 2022 to Mar 30, 2023
Signals
3 dated events
- Jacob Ifshin left Horizons Sustainable Financial Services, Inc. for Impact Investors (registered 2026-08-19)Jul 2, 2026 · Advisor changed firm · fact
- Ann Kimberly Griego-Kiel (Shareholder/Principal/President/Chief Compliance Officer) no longer on Schedule A of Horizons Sustainable Financial Services, Inc. (listed 2022-10-06, absent 2023-03-30)Mar 30, 2023 · Control person left · inference
- Horizons Sustainable Financial Services, Inc. filed its initial SEC registration (Form ADV)Feb 22, 2021 · 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
- Firm profile
- linkedin.com/company/horizons-sustainable-financial-servicesreportedpublic record, Form ADV, Sep 17, 2026
- Website
- deepimpactinvesting.blubrry.netreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 505-982-9661reportedpublic record, Form ADV, Jan 14, 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
- $25.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026