{"url":"https://nivawealth.com/firms/horizon-capital-management-132113","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/132113","regulatoryAum":136184309,"crd":"132113","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"2509399","suffix":null,"lastName":"PATTIE","firstName":"JAMES","middleName":"DAVID"}],"total":1,"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"},"secFileNumber":"801-133716","legalName":"Horizon Capital Management, LLC","displayName":"Horizon Capital Management","slug":"horizon-capital-management-132113","website":null,"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"Illinois limited liability company","fiscalYearEnd":"December","headquarters":{"street":"One Westminster Place, Suite 100a","city":"Lake Forest","state":"IL","stateName":"Illinois","country":"United States","postalCode":"60045"},"tradeNames":[],"registration":{"secApproved":"8 August 2025","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":3457339.4736842103,"staff":{"employees":1,"advisory":1,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":136184309,"discretionary":136184309,"discretionaryAccounts":40,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":2,"regulatoryAum":512635},{"label":"High-net-worth individuals","clients":36,"regulatoryAum":130866265},{"label":"Pension and profit-sharing plans","clients":1,"regulatoryAum":2047904},{"label":"Other investment advisers","clients":1,"regulatoryAum":2757505}],"feePrograms":[{"role":"main","program":"Portfolio management fees","feeBasis":"marginal","fee_tiers":[{"to":1000000,"pct":1,"from":0},{"to":2000000,"pct":0.8,"from":1000000},{"to":3000000,"pct":0.6,"from":2000000},{"to":5000000,"pct":0.4,"from":3000000},{"to":null,"pct":0.2,"from":5000000}],"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1018072","versionId":1018072,"ratePeriod":"annual","fee_billing":null,"submittedOn":"2026-03-12","documentName":"HORIZON CAPITAL MANAGEMENT ADV PART 2A","fee_rate_low":0.2,"fee_rate_high":1,"fee_negotiable":true,"minimum_account":null,"feeMinimumPeriod":"annual","fee_minimum_annual":10000}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T13:08:17.484782+00:00","documents":[{"name":"HORIZON CAPITAL MANAGEMENT ADV PART 2A","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1018072","versionId":1018072,"submittedOn":"2026-03-12"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"Westlake, TX","smaAssets":45031905},{"name":"National Financial Services LLC","shortName":"Fidelity","location":"Boston, MA","smaAssets":85754540}],"custodyNote":"Horizon Capital Management does not have custody of client assets.","leadership":[{"name":"James Pattie","title":"Managing Member, President, Chief Compliance Officer","crd":"2509399"}],"ownership":[{"label":"James Pattie","detail":"Managing member, president, chief compliance officer in the 75% or more ownership band and a control person, since August 2004."}],"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Illinois","offices":1,"addresses":[{"street":"One Westminster Place, Suite 100a","city":"Lake Forest","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"847-738-0801","stateRegisteredReps":1,"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","Other"],"financialPlanningClients":"26-50","assetMix":[{"label":"Exchange-traded equity securities","percent":3},{"label":"Securities issued by registered investment companies or business development companies","percent":94},{"label":"Other","percent":2,"detail":"Variable Annuities"}],"privateFunds":0},"sources":{"adv1FilingDate":"12 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/132113/PDF/132113.pdf","brochureDate":"12 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1018072","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 Horizon Capital Management have?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Horizon Capital Management offer?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does Horizon Capital Management charge?","answer":"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","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Horizon Capital Management use?","answer":"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","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Horizon Capital Management have?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Horizon Capital Management invest in?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Horizon Capital Management?","answer":"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","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Horizon Capital Management get paid?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Is Horizon Capital Management registered with the SEC?","answer":"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","sourceRef":{"doc":"adv1","section":"identity"}},{"question":"How do I contact Horizon Capital Management?","answer":"Horizon Capital Management’s main office is at One Westminster Place, Suite 100a, Lake Forest, IL 60045. Its phone number is 847-738-0801.","source":"Form ADV Part 1A, Item 1.F, filed 12 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."}