{"url":"https://nivawealth.com/firms/horizons-sustainable-financial-services-164970","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/164970","regulatoryAum":151158000,"crd":"164970","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"8027119","suffix":null,"lastName":"Avery","firstName":"Prisma","middleName":null},{"crd":"7315217","suffix":null,"lastName":"Buchanan","firstName":"Megan","middleName":"Elizabeth"},{"crd":"7941824","suffix":null,"lastName":"Cera 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Sustainable Financial Services, Inc.","displayName":"Horizons Sustainable Financial Services","slug":"horizons-sustainable-financial-services-164970","website":"https://horizonssfs.com/","logo":{"src":"https://rmkhnxnbeclogprvkfyl.supabase.co/storage/v1/object/public/firm-logos/164970/f1acaea44eaa7ce9-r1.webp","tone":"light","width":443,"height":200,"sourceUrl":"https://horizonssfs.com/","sourceLabel":"Horizons Sustainable Financial Services, Inc., website"},"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"linkedinUrl":"https://www.linkedin.com/company/horizons-sustainable-financial-services-inc-/","founded":null,"organization":"New Mexico corporation","fiscalYearEnd":"December","headquarters":{"street":"535 Cerrillos Road, Suite A2","city":"Santa Fe","state":"NM","stateName":"New Mexico","country":"United 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increments.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1001679","versionId":1001679,"submittedOn":"2026-01-14","documentName":"ADV PART 2A"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed_no_numerical_schedule","checkedAt":"2026-10-22T14:34:37.525458+00:00","documents":[{"name":"ADV PART 2A","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1001679","versionId":1001679,"submittedOn":"2026-01-14"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"San Francisco, CA","smaAssets":94400000},{"name":"Folio Investments, Inc.","shortName":"Folio Investments","location":"McLean, VA","smaAssets":54800000}],"custodyNote":"Horizons Sustainable Financial Services does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Johann Klaassen","title":"President/President/Principal Shareholder/Chief Compliance Officer","crd":"4280579"}],"ownership":[{"label":"Johann Klaassen","detail":"President/president/principal shareholder/chief compliance officer in the 50% to 75% ownership band and a control person, since January 2023."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":5,"privateResidences":4},"listedOfficeAddresses":2,"foreignOffices":[],"officesByState":[{"state":"Alabama","offices":1,"addresses":[{"street":"300 Vestavia Parkway","city":"Birmingham"}]},{"state":"New Mexico","offices":1,"addresses":[{"street":"535 Cerrillos Road, Suite A2","city":"Santa Fe","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"505-982-9661","stateRegisteredReps":6,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Hourly charges","Fixed fees (other than subscription fees)"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Pension consulting services","Selection of other advisers (including private fund managers)"],"financialPlanningClients":"251-500","assetMix":[{"label":"Exchange-traded equity securities","percent":49},{"label":"Non-exchange-traded equity securities","percent":5},{"label":"U.S. state and local bonds","percent":7},{"label":"Investment grade corporate bonds","percent":1},{"label":"Securities issued by registered investment companies or business development companies","percent":31},{"label":"Cash and cash equivalents","percent":8}],"privateFunds":0},"sources":{"adv1FilingDate":"14 January 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/164970/PDF/164970.pdf","brochureDate":"14 January 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1001679","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 Horizons Sustainable Financial Services have?","answer":"Horizons Sustainable Financial Services has 310 clients and manages $151 million for them, as of January 2026. They include 209 individual clients and 101 high-net-worth individuals.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 14 January 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Horizons Sustainable Financial Services offer?","answer":"Horizons Sustainable Financial Services provides financial planning, portfolio management for individuals and small businesses, pension consulting, and selecting other managers.","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 Horizons Sustainable Financial Services use?","answer":"Horizons Sustainable Financial Services’ separately managed account assets are held at Charles Schwab & Co., Inc. (San Francisco, CA), with $94.4M and Folio Investments, Inc. (McLean, VA), with $54.8M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 14 January 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Horizons Sustainable Financial Services have?","answer":"Horizons Sustainable Financial Services has 6 investment adviser representatives registered with state securities authorities, out of 7 employees, and 6 perform investment advisory functions. 0 employees are registered representatives of a broker-dealer and 2 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 Horizons Sustainable Financial Services invest in?","answer":"At the end of its last fiscal year, Horizons Sustainable Financial Services’ separately managed accounts held 49% exchange-traded equities, 31% registered funds (mutual funds, ETFs, BDCs), 8% cash and equivalents, 7% state and local bonds, 5% non-exchange-traded equities and 1% investment grade corporate 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 Horizons Sustainable Financial Services?","answer":"Horizons Sustainable Financial Services’ direct owner is Johann Klaassen (50% to 75%).","source":"Form ADV Part 1A, Schedules A and B, filed 14 January 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Horizons Sustainable Financial Services get paid?","answer":"Horizons Sustainable Financial Services is paid through a percentage of assets under management, hourly charges 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 Horizons Sustainable Financial Services?","answer":"Horizons Sustainable Financial Services’ main office is at 535 Cerrillos Road, Suite A2, Santa Fe, NM 87501. Its phone number is 505-982-9661. Its website is horizonssfs.com.","source":"Form ADV Part 1A, Item 1.F, filed 14 January 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."}