Horizon Capital Management, Llc
- Regulatory AUM
- $136M
- Discretionary
- $136M
- Clients
- 40
- Avg AUM / client
- $3.4M
- Accounts
- 40
- Employees
- 1
AUM over time
Annual snapshots from Form ADV filings · as of Mar 12, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 2 | $513K | 0.38% |
| High net worth individuals | 36 | $131M | 96.1% |
| Pension and profit sharing plans | 1 | $2.0M | 1.5% |
| Other investment advisers | 1 | $2.8M | 2.02% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Dentons Us Llp Profit Sharing Plan Dentons Us Llp | 2024 |
People (1)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| James David Pattie | Registered representative | Jan 2005 (22y) |
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Retirement plans served (1)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Dentons Us Llp Profit Sharing Plan | Dentons Us Llp | 1,434 | $999M | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/12/2026 | 950 KB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Other services
Custody
Reported custodians
- National Financial Services (Fidelity) $85.8M (63% of AUM) Mar 2026
- Charles Schwab & Co. $45.0M (33% of AUM) Mar 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 12, 2026.
View current Form ADV (SEC/IAPD) ↗