{"url":"https://nivawealth.com/firms/e-a-horwitz-165561","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/165561","regulatoryAum":272647037,"crd":"165561","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"5761108","suffix":null,"lastName":"Armenta","firstName":"Ashley","middleName":"Elizabeth"},{"crd":"2171530","suffix":null,"lastName":"BROBECK","firstName":"PATRICK","middleName":"BARNES"},{"crd":"2688042","suffix":null,"lastName":"Carleton","firstName":"Mary","middleName":"Kathryn Gerace"},{"crd":"2154232","suffix":null,"lastName":"Horwitz","firstName":"Edward","middleName":"Alan"},{"crd":"250612","suffix":null,"lastName":"Horwitz","firstName":"Gerald","middleName":"A"},{"crd":"6671671","suffix":null,"lastName":"Horwitz","firstName":"Jakob","middleName":"Tyler"},{"crd":"6101176","suffix":null,"lastName":"Liu","firstName":"Pei","middleName":null},{"crd":"1867126","suffix":null,"lastName":"Winston","firstName":"Lesley","middleName":null},{"crd":"2188234","suffix":null,"lastName":"Youman","firstName":"Robert","middleName":"Wayne"},{"crd":"1023149","suffix":null,"lastName":"Zimniewicz","firstName":"Joan","middleName":"Marie"}],"total":10,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2021-03-31","regulatoryAum":168371015,"clients":332,"employees":15,"offices":1},{"filedOn":"2022-03-30","regulatoryAum":216098752,"clients":338,"employees":15,"offices":1},{"filedOn":"2023-03-27","regulatoryAum":195079735,"clients":347,"employees":15,"offices":1},{"filedOn":"2024-03-28","regulatoryAum":208061003,"clients":404,"employees":13,"offices":1},{"filedOn":"2025-03-28","regulatoryAum":221419170,"clients":369,"employees":13,"offices":1},{"filedOn":"2026-03-25","regulatoryAum":272647037,"clients":369,"employees":13,"offices":1}],"secFileNumber":"801-77366","legalName":"E. 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HORWITZ ADV BROCHURE APPENDIX"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed_no_numerical_schedule","checkedAt":"2026-10-22T14:36:31.985866+00:00","documents":[{"name":"E.A. HORWITZ ADV BROCHURE APPENDIX","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1026320","versionId":1026320,"submittedOn":"2026-03-25"},{"name":"HORWITZ AND ASSOC ADV PART 2","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1026319","versionId":1026319,"submittedOn":"2026-03-25"},{"name":null,"status":"not_downloaded","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1026318","versionId":1026318,"submittedOn":null}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"San Francisco, CA","smaAssets":47666475},{"name":"National Financial Services LLC","shortName":"Fidelity","location":"Boston, MA","smaAssets":173752695}],"custodyNote":"E. A. Horwitz does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Edward Horwitz","title":"CCO","crd":"2154232"}],"ownership":[{"label":"Edward Horwitz","detail":"Cco in the 75% or more ownership band and a control person, since October 2012."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Illinois","offices":1,"addresses":[{"street":"1650 Lake Cook RD., Suite 190","city":"Deerfield","headquarters":true}]}],"brochureServices":["estate planning","insurance"],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"224-632-4600","stateRegisteredReps":9,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Fixed fees (other than subscription fees)"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Portfolio management for businesses (other than small businesses) or institutional clients","Pension consulting services"],"financialPlanningClients":"0","assetMix":[{"label":"Exchange-traded equity securities","percent":80},{"label":"U.S. government/agency bonds","percent":2},{"label":"U.S. state and local bonds","percent":2},{"label":"Investment grade corporate bonds","percent":10},{"label":"Cash and cash equivalents","percent":6}],"privateFunds":0},"sources":{"adv1FilingDate":"25 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/165561/PDF/165561.pdf","brochureDate":"25 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1026320","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does E. A. Horwitz have?","answer":"E. A. Horwitz has 369 clients and manages $273 million for them, as of March 2026. They include 347 individuals, 15 pension and profit-sharing plans, and 7 charitable organizations.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 25 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does E. A. Horwitz offer?","answer":"E. A. Horwitz provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, pension consulting, estate planning, and insurance.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file; Part 2A brochure, Item 4","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does E. A. Horwitz use?","answer":"E. A. Horwitz’s separately managed account assets are held at National Financial Services LLC (Boston, MA), with $174M and Charles Schwab & Co., Inc. (San Francisco, CA), with $47.7M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 25 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does E. A. Horwitz have?","answer":"E. A. Horwitz has 9 investment adviser representatives registered with state securities authorities, out of 13 employees, and 11 perform investment advisory functions. 9 employees are registered representatives of a broker-dealer and 0 employees are licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does E. A. Horwitz invest in?","answer":"At the end of its last fiscal year, E. A. Horwitz’s separately managed accounts held 80% exchange-traded equities, 10% investment grade corporate bonds, 6% cash and equivalents, 2% U.S. government and agency bonds and 2% state and local bonds.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns E. A. Horwitz?","answer":"E. A. Horwitz’s direct owner is Edward Horwitz (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 25 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does E. A. Horwitz get paid?","answer":"E. A. Horwitz is paid through a percentage of assets under management and fixed fees. Its Form ADV lists no commissions or performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact E. A. Horwitz?","answer":"E. A. Horwitz’s main office is at 1650 Lake Cook RD., Suite 190, Deerfield, IL 60015. Its phone number is 224-632-4600. Its website is horwitzadvisors.com.","source":"Form ADV Part 1A, Item 1.F, filed 25 March 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}