{"url":"https://nivawealth.com/firms/horizon-wealth-advisors-148338","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/148338","regulatoryAum":234983784,"crd":"148338","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"4344922","suffix":null,"lastName":"BABCOCK","firstName":"BRIAN","middleName":"THOMAS"},{"crd":"2254426","suffix":null,"lastName":"DRIZOS","firstName":"NICHOLAS","middleName":"JAMES"},{"crd":"2747857","suffix":null,"lastName":"FERRO","firstName":"MICHAEL","middleName":"FREDERICK"},{"crd":"5419103","suffix":null,"lastName":"PENDOLA","firstName":"DWIGHT","middleName":"PHILLIP"},{"crd":"5736929","suffix":null,"lastName":"SMITH","firstName":"JEREMY","middleName":"DALLAS"},{"crd":"1580513","suffix":null,"lastName":"WILSON","firstName":"ELIZABETH","middleName":"JEAN"}],"total":6,"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":"2021-03-03","regulatoryAum":169694089,"clients":214,"employees":8,"offices":3},{"filedOn":"2022-02-16","regulatoryAum":172097815,"clients":441,"employees":8,"offices":3},{"filedOn":"2023-02-14","regulatoryAum":178719554,"clients":476,"employees":8,"offices":3},{"filedOn":"2024-02-26","regulatoryAum":187554934,"clients":502,"employees":8,"offices":3},{"filedOn":"2025-03-12","regulatoryAum":216986506,"clients":522,"employees":7,"offices":3},{"filedOn":"2026-03-04","regulatoryAum":234983784,"clients":582,"employees":7,"offices":3}],"secFileNumber":"801-100378","legalName":"Horizon Wealth Advisors, LLC","displayName":"Horizon Wealth Advisors","slug":"horizon-wealth-advisors-148338","website":"https://horizonwealthadvisors.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"Florida limited liability company","fiscalYearEnd":"December","headquarters":{"street":"","city":"","state":"","stateName":"","country":"","postalCode":null},"tradeNames":[],"registration":{"secApproved":"24 June 2015","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":404162.721340388,"staff":{"employees":7,"advisory":6,"brokerDealerReps":1,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":234983784,"discretionary":231416198,"discretionaryAccounts":621,"nonDiscretionary":3567586,"nonDiscretionaryAccounts":23,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":496,"regulatoryAum":77594840},{"label":"High-net-worth individuals","clients":71,"regulatoryAum":151565423},{"label":"Pension and profit-sharing plans","clients":15,"regulatoryAum":5823521}],"feePrograms":[{"role":"other","program":"Pension Consulting","summary":"Pension consulting is charged as an annual fee of up to 1% of total plan assets, negotiated with each client.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1014208","versionId":1014208,"submittedOn":"2026-03-04","documentName":"HORIZON WEALTH ADV PART 2A"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed_no_numerical_schedule","checkedAt":"2026-10-22T13:49:05.768165+00:00","documents":[{"name":"HORIZON WEALTH ADV PART 2A","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1014208","versionId":1014208,"submittedOn":"2026-03-04"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"San Francisco, CA","smaAssets":229160263}],"custodyNote":"Horizon Wealth Advisors does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Nicholas Drizos","title":"Chief Compliance Officer","crd":"500632"},{"name":"Nicholas Drizos","title":"Owner","crd":"2254426"}],"ownership":[{"label":"Nicholas Drizos","detail":"Owner in the 75% or more ownership band and a control person, since August 2008."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":2,"privateResidences":1},"listedOfficeAddresses":2,"foreignOffices":[],"officesByState":[{"state":"Florida","offices":1,"addresses":[{"street":"9040 Town Center Parkway","city":"Lakewood Ranch"}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"941-362-0161","stateRegisteredReps":6,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Fixed fees (other than subscription fees)","Commissions"],"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":60},{"label":"Non-exchange-traded equity securities","percent":20},{"label":"U.S. government/agency bonds","percent":2},{"label":"U.S. state and local bonds","percent":8},{"label":"Securities issued by registered investment companies or business development companies","percent":10}],"privateFunds":0},"sources":{"adv1FilingDate":"4 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/148338/PDF/148338.pdf","brochureDate":"4 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1014208","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 Wealth Advisors have?","answer":"Horizon Wealth Advisors has 582 clients and manages $235 million for them, as of March 2026. They include 496 individual clients, 71 high-net-worth individuals, and 15 pension and profit-sharing plans.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 4 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Horizon Wealth Advisors offer?","answer":"Horizon Wealth Advisors provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, and pension consulting.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does Horizon Wealth Advisors use?","answer":"Horizon Wealth Advisors’ separately managed account assets are held at Charles Schwab & Co., Inc. (San Francisco, CA), with $229M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 4 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Horizon Wealth Advisors have?","answer":"Horizon Wealth Advisors has 6 investment adviser representatives registered with state securities authorities, out of 7 employees, and 6 perform investment advisory functions. 1 employee is a registered representative 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 Horizon Wealth Advisors invest in?","answer":"At the end of its last fiscal year, Horizon Wealth Advisors’ separately managed accounts held 60% exchange-traded equities, 20% non-exchange-traded equities, 10% registered funds (mutual funds, ETFs, BDCs), 8% state and local bonds and 2% U.S. government and agency 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 Horizon Wealth Advisors?","answer":"Horizon Wealth Advisors’ direct owner is Nicholas Drizos (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 4 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Horizon Wealth Advisors get paid?","answer":"Horizon Wealth Advisors is paid through a percentage of assets under management, fixed fees and commissions. Its Form ADV lists no 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 Horizon Wealth Advisors?","answer":"Its phone number is 941-362-0161. Its website is horizonwealthadvisors.com.","source":"Form ADV Part 1A, Item 1.F, filed 4 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."}