Horizon Capital Management provides financial planning and portfolio management for individuals and small businesses. Financial planning was provided to 26–50 clients last fiscal year.
Horizon Capital Management reports 40 clients. They include 36 high-net-worth individuals, 2 individual clients and 1 pension or profit-sharing plan. Of its assets, 100.0% ($136M across 40 accounts) are managed with discretion.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 5% | <1% |
| High-net-worth individuals | 90% | 96% |
| Pension and profit-sharing plans | 3% | 2% |
| Other investment advisers | 3% | 2% |
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 2 | $513K | 0.4% | $256K |
| High-net-worth individuals | 36 | $131M | 96.1% | $3.64M |
| Pension and profit-sharing plans | 1 | $2.05M | 1.5% | $2.05M |
| Other investment advisers | 1 | $2.76M | 2.0% | $2.76M |
| Total | 40 | $136M | 100% | $3.4M |
- Clients
- 2
- Regulatory AUM
- $513K
- AUM share
- 0.4%
- Avg. per client
- $256K
- Clients
- 36
- Regulatory AUM
- $131M
- AUM share
- 96.1%
- Avg. per client
- $3.64M
- Clients
- 1
- Regulatory AUM
- $2.05M
- AUM share
- 1.5%
- Avg. per client
- $2.05M
- Clients
- 1
- Regulatory AUM
- $2.76M
- AUM share
- 2.0%
- Avg. per client
- $2.76M
Total
- Clients
- 40
- Regulatory AUM
- $136M
- AUM share
- 100%
- Avg. per client
- $3.4M
- Clients outside the U.S.
- 0%
- Clients advised without assets under management last fiscal year
- 0
- Private funds advised
- 0
- Financial planning clients last fiscal year
- 26–50
Horizon Capital Management charges 0.20%–1.00% a year for its Portfolio management fees. Each asset band is charged at its own rate. The fee is negotiable and has a $10,000 annual minimum.
| Asset band | Annual rate |
|---|---|
| $0–$1M | 1.00% |
| $1M–$2M | 0.80% |
| $2M–$3M | 0.60% |
| $3M–$5M | 0.40% |
| $5M and above | 0.20% |
Fee details and sources
James Pattie owns 75% or more of Horizon Capital Management. The leadership team of Horizon Capital Management includes President James Pattie. It has 1 employee.
Leadership
- James PattieManaging Member, President, Chief Compliance Officer
Investment adviser representatives
1 representatives listed in the SEC register as of 9 October 2026.
Staff
- 1 employee
- 1 in advisory functions
- 1 state-registered rep
- Owns 75% or more of Horizon Capital Management, LLC
James Pattie
Control person · since August 2004
Besides its headquarters, Horizon Capital Management has 0 offices, with 1 listed address in Illinois.
Illinois · 1 listed address
- One Westminster Place, Suite 100a, Lake ForestHQ
Contact and registration details
- Legal name
- Horizon Capital Management, LLC
- Headquarters
- One Westminster Place, Suite 100a, Lake Forest, IL 60045
- Website
- Not reported
- Phone
- 847-738-0801
- SEC file
- 801-133716
- Structure
- Illinois LLC
- Fiscal year end
- December
Horizon Capital Management uses Fidelity ($85.8M, 66%) and Charles Schwab ($45M, 34%) as custodians for its separately managed accounts. Horizon Capital Management does not have custody of client assets.
- Charles SchwabCharles Schwab & Co., Inc. · Westlake, TX · $45M34%
- FidelityNational Financial Services LLC · Boston, MA · $85.8M66%
At year end, Horizon Capital Management’s separately managed accounts were mostly in funds (94%).
What the accounts hold
- Stocks3%
- Funds94%
- Other2%
- Variable annuities2%
Filed values cover 99%. The neutral 1% gap has no reported category.
How many clients does Horizon Capital Management have?
Horizon Capital Management has 40 clients and manages $136 million for them, as of March 2026. They include 36 high-net-worth individuals, 2 individual clients and 1 pension or profit-sharing plan.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 12 March 2026
What services does Horizon Capital Management offer?
Horizon Capital Management provides financial planning and portfolio management for individuals and small businesses.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file
How much does Horizon Capital Management charge?
Horizon Capital Management charges 0.20%–1.00% a year for its Portfolio management fees. Each asset band is charged at its own rate. The fee is negotiable and has a $10,000 annual minimum.
Source: HORIZON CAPITAL MANAGEMENT ADV PART 2A, filed 12 March 2026
Which custodians does Horizon Capital Management use?
Horizon Capital Management’s separately managed account assets are held at National Financial Services LLC (Boston, MA), with $85.8M and Charles Schwab & Co., Inc. (Westlake, TX), with $45M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 12 March 2026
How many financial advisors does Horizon Capital Management have?
Horizon Capital Management has 1 investment adviser representative registered with state securities authorities, out of 1 employees, and 1 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.
Source: Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file
What does Horizon Capital Management invest in?
At the end of its last fiscal year, Horizon Capital Management’s separately managed accounts held 94% registered funds (mutual funds, ETFs, BDCs), 3% exchange-traded equities and 2% other. The 2% other category is described as: Variable Annuities.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns Horizon Capital Management?
Horizon Capital Management’s direct owner is James Pattie (75% or more).
Source: Form ADV Part 1A, Schedules A and B, filed 12 March 2026
How does Horizon Capital Management get paid?
Horizon Capital Management 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
Is Horizon Capital Management registered with the SEC?
Yes, Horizon Capital Management has been registered with the SEC as an investment adviser since 8 August 2025. Its CRD number is 132113 and its SEC file number is 801-133716.
Source: Form ADV Part 1A, Item 1, filed 12 March 2026; IAPD firm record
How do I contact Horizon Capital Management?
Horizon Capital Management’s main office is at One Westminster Place, Suite 100a, Lake Forest, IL 60045. Its phone number is 847-738-0801.