Horizon Investments LLC (Charlotte)

Name: Horizon Investments LLC
Address: 6210 Ardrey Kell Road, Charlotte, NC, 28277
Telephone: 704-544-2399

Horizon Investments LLC is a large advisory firm based in Charlotte. It manages $3.71 billion of regulatory assets for 8,054 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdictions of Alabama, Alaska, Arizona, and 49 other states.

Horizon Investments provides portfolio management for individuals and small businesses, portfolio management for investment companies, portfolio management for pooled investment vehicles, portfolio management for businesses and institutional clients, pension consulting services, and consult for other financial professionals. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Horizon Investments: assets under management

The assets under management (AUM) of Horizon Investments LLC is $3.71 billion. The firm's AUM has grown by 10488% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $3.33 billion in discretionary accounts and $371.62 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $1.55 million each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $62.92 thousand.

Investments

The firm invests in investment and business development companies the most. They account for 79% of the total AUM. The second-largest asset type is pooled investment vehicles, which make up 18% of the firm’s portfolio. Investments in exchange traded securities form 2% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Horizon Investments LLC for their services and products based on a percentage of assets under management and fixed fees. Flat-fee based compensation is the most transparent and the one you can safely predict in advance. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Horizon Investments serves?

The firm provides services to individuals, investment companies, other investment advisers, pooled investment vehicles, pension and profit sharing plans, and state or municipal government entities. The largest group of clients of Horizon Investments is investment companies with 7 clients and $1.8 billion of assets under management. Among the 8 most similar advisory firms, Horizon Investments has the 3rd highest percentage of investment companies out of all clients.

The amount of regulatory assets under management is $3.71 billion for 2,156 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

Horizon Investments doesn't advise any private funds.

Careers at Horizon Investments LLC

The company employs 60 people that are either part- or full-time employees. 20 percent of the employees work as investment advisers or researchers. 20 employees are registered as investment adviser representatives with the state securities authorities.

There are 30 people with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Robert Joseph Cannon	Managing member/president and ceo	1 Apr 1999	75% - 100%	2431473
Robert J Cannon	Managing member	1 Apr 1999	25% - 50%	2431473
John Alan Johnson	Managing member	1 Apr 1999	25% - 50%	2734650
Gary James Heady	Managing member	1 Apr 1999	25% - 50%	2569444
Kevin Wayne Blocker	Member	1 Oct 2004	Other	4486392
Joshua Samuel Bartholomew	National sales director	1 Aug 2005	Other	5365788
Thaddeus W Cook	General counsel	1 Jun 2006	Other	5192252
Jeff Joseph Roach	Chief economist	1 Sep 2006	Other	5311691
Benjamin Edward Johnson	Managing director, operations and finance	1 Jan 2009	Other	5639045
Eddie Thomas Rollins	Senior managing director, sales and marketing	1 Sep 2010	Other	1523500
Ronald Byron Saba	Senior managing director of investment management	1 Mar 2013	Other	1602012
Scott Evan Ladner	Managing director of alternative strategies	1 Oct 2013	Other	3247453
Matthew Scott Chambers	General counsel and chief compliance officer	1 Dec 2014	Other	6448018
Gregory Earl Smith	Senior managing director of operations	1 Nov 2016	Other	1252027
John Noel Drahzal	Head of distribution	1 Apr 2017	Other	2937289

Based in Charlotte

The principal office where Horizon Investments LLC performs its advisory services is located at 6210 Ardrey Kell Road, Charlotte, NC 28277, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 704-544-2399 or by fax 704-544-2883. The normal business hours are 9 to 5 on Monday - Friday. You can find more information about the New York firm at horizoninvestments.com.