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••••• W•••••• I•••
Latest filing Jul 14, 2026
First filing on the tape Aug 2, 2021 · 13 filings
SEC status approved since Sep 1, 2021
RAUM
$279M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$279M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$139M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$279M as of Jul 14, 2026
Mar 1, 2022$155M then
HNW client RAUM$270M as of Jul 14, 2026
Mar 1, 2022$144M then
State-registered IARs (5.B.3)2 as of Jul 14, 2026
Mar 1, 20222 then
Employees (5.A)2 as of Jul 14, 2026
Mar 1, 20223 then
Private funds: no history
RAUM -0.3% over the last fiscal year+23% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Jul 14, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $139MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 47derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.2MderivedHNW RAUM over HNW clients
- Average account
- $667,018derivedRAUM 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
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -0.3%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -5.1%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
- Custody
- $50.0M, 71 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
- has discretionary authority over which securities are bought or sold (8.C.1)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$270M97%
- Individuals$9.0M3.2%
- Corporations and businesses$2,4690.0%
- Individual clients
- 29reported
- HNW clients
- 64reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 418reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $50.0M for 71 clientsreported
- 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
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••••• B•••• S••• | Chicago, Il | Sep 1, 2021 | 30 y | 5 |
| S•••••• N••••• A•••••••• | Chicago, Il | Feb 7, 2025 | 18 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
none on the tape
Joined, latest
- J••••• B•••• S••• from L•• F•••••••• L••Sep 1, 2021 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S•••• J•••••• B•••• · Managing Partner And Chief Compliance Officercontrolsince 08/2021 · 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 |
|---|---|---|---|---|---|
| Chicago, Il · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 425 to 418Mar 19, 2025 to Mar 20, 2026
- HNW clients · 65 to 64Mar 19, 2025 to Mar 20, 2026
- Individual clients · 33 to 29Mar 19, 2025 to Mar 20, 2026
- Assets in custody · $45.2M to $50.0MMar 19, 2025 to Mar 20, 2026
- Discretionary RAUM · $280M to $279MMar 19, 2025 to Mar 20, 2026
- HNW RAUM · $270M to $270MMar 19, 2025 to Mar 20, 2026
- Individual RAUM · $10.1M to $9.0MMar 19, 2025 to Mar 20, 2026
- RAUM · $280M to $279MMar 19, 2025 to Mar 20, 2026
- Accounts · 409 to 425Mar 15, 2024 to Mar 19, 2025
- HNW clients · 63 to 65Mar 15, 2024 to Mar 19, 2025
- Individual clients · 31 to 33Mar 15, 2024 to Mar 19, 2025
- Assets in custody · $47.8M to $45.2MMar 15, 2024 to Mar 19, 2025
- Employees · 3 to 2Mar 15, 2024 to Mar 19, 2025
- Financial planning clients · 0 to 51-100Mar 15, 2024 to Mar 19, 2025
- State-registered IARs · 1 to 2Mar 15, 2024 to Mar 19, 2025
- Discretionary RAUM · $221M to $280MMar 15, 2024 to Mar 19, 2025
- HNW RAUM · $212M to $270MMar 15, 2024 to Mar 19, 2025
- Individual RAUM · $8.7M to $10.1MMar 15, 2024 to Mar 19, 2025
- RAUM · $221M to $280MMar 15, 2024 to Mar 19, 2025
- Accounts · 365 to 409Nov 29, 2023 to Mar 15, 2024
- Advisory activities · 2 to 4Nov 29, 2023 to Mar 15, 2024
- HNW clients · 58 to 63Nov 29, 2023 to Mar 15, 2024
- Individual clients · 34 to 31Nov 29, 2023 to Mar 15, 2024
- Assets in custody · $45.9M to $47.8MNov 29, 2023 to Mar 15, 2024
- Employees · 2 to 3Nov 29, 2023 to Mar 15, 2024
- Discretionary RAUM · $150M to $221MNov 29, 2023 to Mar 15, 2024
- HNW RAUM · $141M to $212MNov 29, 2023 to Mar 15, 2024
- Individual RAUM · $9.4M to $8.7MNov 29, 2023 to Mar 15, 2024
- RAUM · $150M to $221MNov 29, 2023 to Mar 15, 2024
- Accounts · 321 to 365Mar 1, 2022 to Mar 16, 2023
- Advisory employees · 2 to 1Mar 1, 2022 to Mar 16, 2023
- HNW clients · 54 to 58Mar 1, 2022 to Mar 16, 2023
- Individual clients · 33 to 34Mar 1, 2022 to Mar 16, 2023
- Assets in custody · $50.7M to $45.9MMar 1, 2022 to Mar 16, 2023
- Employees · 3 to 2Mar 1, 2022 to Mar 16, 2023
- State-registered IARs · 2 to 1Mar 1, 2022 to Mar 16, 2023
- Discretionary RAUM · $155M to $150MMar 1, 2022 to Mar 16, 2023
- HNW RAUM · $144M to $141MMar 1, 2022 to Mar 16, 2023
- Individual RAUM · $10.8M to $9.4MMar 1, 2022 to Mar 16, 2023
- RAUM · $155M to $150MMar 1, 2022 to Mar 16, 2023
Signals
1 dated events
- H•••••• F••••• W•••••• I••• filed its initial SEC registration (Form ADV)Aug 2, 2021 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- H•••••• F••••• W•••••• I••• · Family Officesshared crd · office
How to reach
public business contact points only, each with its source
- Business email
- e••••@h•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- r••••@h•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 312-442-9192reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 312-818-1247reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 312-442-9085reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/horizon-family-wealthreportedpublic record, Form ADV, Sep 18, 2026
- Website
- h•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 312-442-9192reportedpublic record, Form ADV, Jul 14, 2026
- Contact form
- h•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- h•••••••••.comreportedpublished 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
- $139Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026