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••••••••
Legal name H•••••• A••••••• S•••••••• I•••
Latest filing Aug 31, 2026
First filing on the tape Aug 15, 2019 · 22 filings
SEC status approved since Sep 13, 2019
RAUM
$510M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$510M individuals and HNW
Advisors
9
registered through the firm on IAPD
RAUM per advisor
$56.7M
derived; firm RAUM over IAPD count
Employees
9
9 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$510M as of Aug 31, 2026
Mar 16, 2020$311M then
HNW client RAUM$234M as of Aug 31, 2026
Mar 16, 2020$131M then
State-registered IARs (5.B.3)9 as of Aug 31, 2026
Mar 16, 20206 then
Employees (5.A)9 as of Aug 31, 2026
Mar 16, 202012 then
Private funds: no history
RAUM +12% over the last fiscal year+12% a year over threeIARs 11 to 9
Practice profile
derived from the filing of Aug 31, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Planning-led practice · financial planning activity (5.G.1), at least 100 financial planning clients (5.H), and hourly, fixed or subscription compensation (5.E)
- RAUM per advisor
- $56.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 82derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.9MderivedHNW RAUM over HNW clients
- Average account
- $321,899derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 9.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- -18%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -0.7%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Financial planning clients
- 500reportedItem 5.H
- Custody
- $333,461, 4 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$277M54%
- High-net-worth individuals$234M46%
- Individual clients
- 614reported
- HNW clients
- 120reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,585reported
- Financial planning clients
- 500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $333,461 for 4 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=5.0derived
Advisors registered through the firm
9 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M••• A••• C•••••• | West Henrietta, Ny | Sep 17, 2019 | 39 y | 1 |
| T•••••• R••••• H•••••• | West Henrietta, Ny | Sep 18, 2019 | 32 y | 1 |
| K•••••• S•••••• B•••••• | West Henrietta, Ny | Oct 23, 2019 | 18 y | 6 |
| D••••• J••• K••••• | West Henrietta, Ny | Jan 21, 2020 | 10 y | 1 |
| A••••• L•• H••••••• | West Henrietta, Ny | Jan 21, 2020 | 10 y | 0 |
| J••••••• F•••• B•••••• | West Henrietta, Ny | Jan 21, 2020 | 14 y | 2 |
| M•••••• R• C•••••• | West Henrietta, Ny | Jun 2, 2021 | 14 y | 0 |
| B•••• M•••••• N••••••• | West Henrietta, Ny | Sep 22, 2021 | 10 y | 0 |
| B••••••• R••••• C••••••• | West Henrietta, Ny | Apr 27, 2022 | 14 y | 0 |
Advisor movement
2 left, 1 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 22% of current headcount2 left over 36 months
Left, latest
- C••••• B••• S••••• to T••••••• I••••••••• M••••••••• I•••Feb 27, 2026 · RIA to affiliated broker-dealer or bank
- S••••••• S•••••• to L•••••• I•••••••••Jan 13, 2026 · RIA to RIA
Joined, latest
- S••••••• S•••••• from E••••• J••••Nov 17, 2025 · Affiliated broker-dealer or bank to independent RIA
- D••••• J••• K••••• from S•• A•••••••• I•••Jan 21, 2020 · Affiliated broker-dealer or bank to independent RIA
- J••••••• F•••• B•••••• from S•• A•••••••• I•••Jan 21, 2020 · Affiliated broker-dealer or bank to independent RIA
- K•••••• S•••••• B•••••• from S•• A•••••••• I•••Oct 23, 2019 · Affiliated broker-dealer or bank to independent RIA
- T•••••• R••••• H•••••• from S•• A•••••••• I•••Sep 18, 2019 · Other
- M••• A••• C•••••• from C•••••• G•••• • C• I••Sep 17, 2019 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 4 joined from S•• A•••••••• I•••Sep 18, 2020 · West Henrietta, Ny
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••••• K••••••• S•••••• · Chief Investment Officercontrolsince 08/2019 · owns less than 5%
- C••••••• M•••• A••• · Presidentcontrolsince 08/2019 · owns 75% or more
- C••••••• M••••••• R•••• · Chief Compliance Officercontrolsince 08/2019 · owns less than 5%
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 |
|---|---|---|---|---|---|
| West Henrietta, Ny · principal | 9 | 0 | 2 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,523 to 1,585Jul 25, 2025 to Mar 24, 2026
- Advisory employees · 11 to 9Jul 25, 2025 to Mar 24, 2026
- BD registered reps · 6 to 5Jul 25, 2025 to Mar 24, 2026
- HNW clients · 124 to 120Jul 25, 2025 to Mar 24, 2026
- Individual clients · 615 to 614Jul 25, 2025 to Mar 24, 2026
- Assets in custody · $207M to $333,461Jul 25, 2025 to Mar 24, 2026
- Employees · 11 to 9Jul 25, 2025 to Mar 24, 2026
- State-registered IARs · 11 to 9Jul 25, 2025 to Mar 24, 2026
- Discretionary RAUM · $456M to $510MJul 25, 2025 to Mar 24, 2026
- HNW RAUM · $218M to $234MJul 25, 2025 to Mar 24, 2026
- Individual RAUM · $238M to $277MJul 25, 2025 to Mar 24, 2026
- RAUM · $456M to $510MJul 25, 2025 to Mar 24, 2026
- Financial planning clients · More than 500 to More than 500Mar 26, 2025 to Jul 25, 2025
- Accounts · 1,460 to 1,523Nov 12, 2024 to Mar 26, 2025
- HNW clients · 232 to 124Nov 12, 2024 to Mar 26, 2025
- Individual clients · 734 to 615Nov 12, 2024 to Mar 26, 2025
- Assets in custody · unset to 207385395.0Nov 12, 2024 to Mar 26, 2025
- Custody of client assets · false to trueNov 12, 2024 to Mar 26, 2025
- Discretionary RAUM · $423M to $456MNov 12, 2024 to Mar 26, 2025
- HNW RAUM · $211M to $218MNov 12, 2024 to Mar 26, 2025
- Individual RAUM · $212M to $238MNov 12, 2024 to Mar 26, 2025
- RAUM · $423M to $456MNov 12, 2024 to Mar 26, 2025
- Accounts · 1,337 to 1,460May 18, 2023 to Mar 20, 2024
- Business name · H•••••• A••••••• S•••••••• I••• to H•••••• F••••••••May 18, 2023 to Mar 20, 2024
- HNW clients · 139 to 232May 18, 2023 to Mar 20, 2024
- Individual clients · 533 to 734May 18, 2023 to Mar 20, 2024
- Discretionary RAUM · $362M to $423MMay 18, 2023 to Mar 20, 2024
- HNW RAUM · $179M to $211MMay 18, 2023 to Mar 20, 2024
- Individual RAUM · $182M to $212MMay 18, 2023 to Mar 20, 2024
- RAUM · $362M to $423MMay 18, 2023 to Mar 20, 2024
- Accounts · 1,214 to 1,337Aug 1, 2022 to Mar 17, 2023
- Advisory activities · 3 to 2Aug 1, 2022 to Mar 17, 2023
- HNW clients · 94 to 139Aug 1, 2022 to Mar 17, 2023
- Individual clients · 599 to 533Aug 1, 2022 to Mar 17, 2023
- Employees · 12 to 11Aug 1, 2022 to Mar 17, 2023
- Financial planning clients · 0 to More than 500Aug 1, 2022 to Mar 17, 2023
- State-registered IARs · 10 to 11Aug 1, 2022 to Mar 17, 2023
- Discretionary RAUM · $395M to $362MAug 1, 2022 to Mar 17, 2023
- HNW RAUM · $151M to $179MAug 1, 2022 to Mar 17, 2023
- Individual RAUM · $244M to $182MAug 1, 2022 to Mar 17, 2023
Signals
4 dated events
- C••••• B••• S••••• left H•••••• F•••••••• for T••••••• I••••••••• M••••••••• I••• (registered 2026-03-17)Feb 27, 2026 · Advisor changed firm · fact
- S••••••• S•••••• left H•••••• F•••••••• for L•••••• I••••••••• (registered 2026-03-31)Jan 13, 2026 · Advisor changed firm · fact
- Beth Carrie Sigler (Chief Operations Officer) no longer on Schedule A of H•••••• F•••••••• (listed 2021-12-14, absent 2022-02-18)Feb 18, 2022 · Control person left · inference
- H•••••• A••••••• S•••••••• I••• filed its initial SEC registration (Form ADV)Aug 15, 2019 · 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
- 585-334-3600reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/horizonfinancialreportedpublic record, Form ADV, Sep 18, 2026
- Website
- h•••••••••.netreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 585-334-3600reportedpublic record, Form ADV, Aug 31, 2026
- Team page
- h•••••••••.netreportedpublished 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
- $56.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026