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
E. A. Horwitz LLC
Latest filing Mar 25, 2026
First filing on the tape Nov 8, 2012 · 25 filings
SEC status approved since Nov 16, 2012
RAUM
$273M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$264M individuals and HNW
Advisors
10
registered through the firm on IAPD
RAUM per advisor
$27.3M
derived; firm RAUM over IAPD count
Employees
13
11 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$273M as of Mar 25, 2026
Mar 27, 2013$137M then
HNW client RAUM$30.3M as of Mar 27, 2023
Apr 5, 2018$21.3M then
State-registered IARs (5.B.3)9 as of Mar 25, 2026
Mar 27, 20133 then
Employees (5.A)13 as of Mar 25, 2026
Mar 27, 20139 then
Private funds: no history
RAUM +23% over the last fiscal year+12% a year over threeIARs 9 to 9
Practice profile
derived from the filing of Mar 25, 2026; every figure names its basis
Archetypes, each a printed rule
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $27.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 35derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $738,881derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 3.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 10.0derived1 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
- +0.9%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
- Wrap fee program
- $545MreportedItem 5.I
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$264M97%
- Pension and profit-sharing plans$5.2M1.9%
- Charitable organizations$3.6M1.3%
- Individual clients
- 347reported
- HNW clients
- 0reported
- Pension plan clients
- 15reported
- Charitable clients
- 7reported
- Accounts
- 369reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $273M sponsored, $273M managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.03 related_bd=true related_bank=false bd_reps=9.0derived
Advisors registered through the firm
10 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Edward Alan Horwitz | Deerfield, Il | Nov 19, 2012 | 35 y | 1 |
| Mary Kathryn Gerace CarletonPersonal Financial Specialist | Baton Rouge, La | Mar 25, 2013 | 38 y | 3 |
| Patrick Barnes Brobeck | East Pickerington, Oh | Mar 26, 2013 | 32 y | 0 |
| Ashley Elizabeth Armenta | Deerfield, Il | Mar 27, 2013 | 13 y | 1 |
| Robert Wayne Youman | Deerfield, Il | Jan 12, 2016 | 34 y | 3 |
| Pei Liu | Deerfield, Il | Apr 11, 2017 | 13 y | 3 |
| Joan Marie Zimniewicz | Deerfield, Il | Dec 20, 2019 | 44 y | 1 |
| Jakob Tyler Horwitz | Deerfield, Il | Sep 22, 2020 | 24 y | 0 |
| Gerald A Horwitz | Deerfield, Il | Jan 1, 2026 | 38 y | 1 |
| Lesley Winston | North Miami, Fl | Sep 1, 2026 | 25 y | 2 |
Advisor movement
0 left, 2 joined in 12 months
net +2 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- Scott Edward Heinila to Retirement Investment Advisors Inc.Jul 21, 2022 · RIA to a state-registered adviser
- Paul Robert Wehner to Coe Capital Management, LLCDec 23, 2016 · Other
- Michael Adam Bemoras to Western International SecuritiesDec 20, 2013 · Other
- Harris Evan Mandel to Barclays Capital Inc.Dec 6, 2013 · Other
Joined, latest
- Lesley Winston from Insight Securities, Inc.Sep 1, 2026 · Other
- Gerald A Horwitz from Insight Securities, Inc.Jan 1, 2026 · Other
- Joan Marie Zimniewicz from David A. Noyes & CompanyDec 20, 2019 · Other
- Scott Edward Heinila from Questar Asset Management, Inc.Sep 10, 2019 · Affiliated broker-dealer or bank to independent RIA
- Pei Liu from Bfc Planning, Inc.Apr 11, 2017 · Other
- Paul Robert Wehner from Dls Capital Management LLCJul 14, 2016 · Other
- Robert Wayne Youman from Oppenheimer & Co. Inc.Jan 12, 2016 · Other
- Mary Kathryn Gerace Carleton from Insight Securities, Inc.Mar 25, 2013 · Other
- Michael Adam Bemoras from Insight Securities, Inc.Mar 20, 2013 · Other
- Edward Alan Horwitz from Insight Securities, Inc.Nov 19, 2012 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Alan Edward Horwitz · Ccocontrolsince 10/2012 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Deerfield, Il · principal | 10 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- affiliate changedChange between filings · filing Mar 25, 2026broker-dealer affiliate (Item 7.A.1): no on the filing of 2025-03-28, yes on the filing of 2026-03-25peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Individual clients · 344 to 347Mar 28, 2025 to Mar 25, 2026
- Pension plan clients · 18 to 15Mar 28, 2025 to Mar 25, 2026
- Discretionary RAUM · $221M to $273MMar 28, 2025 to Mar 25, 2026
- Individual RAUM · $211M to $264MMar 28, 2025 to Mar 25, 2026
- Pension RAUM · $7.0M to $5.2MMar 28, 2025 to Mar 25, 2026
- RAUM · $221M to $273MMar 28, 2025 to Mar 25, 2026
- Related adviser · false to trueMar 28, 2025 to Mar 25, 2026
- Related broker-dealer · false to trueMar 28, 2025 to Mar 25, 2026
- Wrap assets (manager) · $221M to $273MMar 28, 2025 to Mar 25, 2026
- Wrap assets (sponsor) · $221M to $273MMar 28, 2025 to Mar 25, 2026
- Accounts · 404 to 369Mar 28, 2024 to Mar 28, 2025
- Advisory employees · 12 to 11Mar 28, 2024 to Mar 28, 2025
- Advisory activities · 3 to 4Mar 28, 2024 to Mar 28, 2025
- BD registered reps · 10 to 9Mar 28, 2024 to Mar 28, 2025
- Charity clients · 10 to 7Mar 28, 2024 to Mar 28, 2025
- Individual clients · 377 to 344Mar 28, 2024 to Mar 28, 2025
- Pension plan clients · 17 to 18Mar 28, 2024 to Mar 28, 2025
- Financial planning clients · 0 to 0Mar 28, 2024 to Mar 28, 2025
- Discretionary RAUM · $208M to $221MMar 28, 2024 to Mar 28, 2025
- Individual RAUM · $199M to $211MMar 28, 2024 to Mar 28, 2025
- Pension RAUM · $4.6M to $7.0MMar 28, 2024 to Mar 28, 2025
- RAUM · $208M to $221MMar 28, 2024 to Mar 28, 2025
- Wrap assets (manager) · $208M to $221MMar 28, 2024 to Mar 28, 2025
- Wrap assets (sponsor) · $208M to $221MMar 28, 2024 to Mar 28, 2025
- Accounts · 326 to 404Mar 27, 2023 to Mar 28, 2024
- Advisory employees · 14 to 12Mar 27, 2023 to Mar 28, 2024
- BD registered reps · 12 to 10Mar 27, 2023 to Mar 28, 2024
- Charity clients · 12 to 10Mar 27, 2023 to Mar 28, 2024
- HNW clients · 3 to 0Mar 27, 2023 to Mar 28, 2024
- Individual clients · 323 to 377Mar 27, 2023 to Mar 28, 2024
- Pension plan clients · 9 to 17Mar 27, 2023 to Mar 28, 2024
- Employees · 15 to 13Mar 27, 2023 to Mar 28, 2024
- State-registered IARs · 10 to 9Mar 27, 2023 to Mar 28, 2024
- Discretionary RAUM · $195M to $208MMar 27, 2023 to Mar 28, 2024
- HNW RAUM · 30311512.0 to unsetMar 27, 2023 to Mar 28, 2024
- Individual RAUM · $161M to $199MMar 27, 2023 to Mar 28, 2024
- Pension RAUM · $2.5M to $4.6MMar 27, 2023 to Mar 28, 2024
- RAUM · $195M to $208MMar 27, 2023 to Mar 28, 2024
- Related broker-dealer · true to falseMar 27, 2023 to Mar 28, 2024
- Wrap assets (manager) · $9.1M to $208MMar 27, 2023 to Mar 28, 2024
Signals
2 dated events
- Scott Edward Heinila left E. A. Horwitz Llc for Retirement Investment Advisors Inc. (registered 2021-09-13)Jul 21, 2022 · Advisor changed firm · fact
- E. A. Horwitz Llc filed its initial SEC registration (Form ADV)Nov 8, 2012 · 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 email
- ed@horwitzadvisors.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 224-456-3500reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 224-632-4591reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 224-632-4600reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/horwitz-&-associatereportedpublic record, Form ADV, Sep 18, 2026
- Website
- HORWITZADVISORS.COM/?redirectUrl=/new/horwitzassociatesreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 224-632-4600reportedpublic record, Form ADV, Mar 25, 2026
- Contact form
- horwitzadvisors.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- horwitzadvisors.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
- $27.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026