{"url":"https://nivawealth.com/firms/horowitz-and-company-106737","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/106737","regulatoryAum":180658367,"crd":"106737","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"8144867","suffix":null,"lastName":"Hoffmann","firstName":"Kevin","middleName":null},{"crd":"1521621","suffix":null,"lastName":"HOROWITZ","firstName":"ANDREW","middleName":"ALAN"}],"total":2,"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":"2025-07-07","regulatoryAum":145410356,"clients":204,"employees":2,"offices":1},{"filedOn":"2026-03-19","regulatoryAum":180658367,"clients":206,"employees":2,"offices":1}],"secFileNumber":"801-133795","legalName":"Horowitz & Company, Inc.","displayName":"Horowitz & Company","slug":"horowitz-and-company-106737","website":"https://thedisciplinedinvestor.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"xUrl":"https://twitter.com/andrewhorowitz","founded":null,"organization":"Florida corporation","fiscalYearEnd":"December","headquarters":{"street":"901 South Federal Highway, Suite 202","city":"Fort Lauderdale","state":"FL","stateName":"Florida","country":"United States","postalCode":"33316"},"tradeNames":[],"registration":{"secApproved":"30 June 2025","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":680190.3316582915,"staff":{"employees":2,"advisory":2,"brokerDealerReps":0,"insuranceAgents":1,"promoters":2},"aum":{"regulatory":180658367,"discretionary":180658367,"discretionaryAccounts":429,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":2},"clientTypes":[{"label":"Individuals (other than HNW)","clients":157,"regulatoryAum":42653556},{"label":"High-net-worth individuals","clients":42,"regulatoryAum":92704320},{"label":"Charitable organizations","clients":1,"regulatoryAum":717106},{"label":"Corporations and other businesses","clients":6,"regulatoryAum":44583385}],"feePrograms":[{"role":"main","program":"Portfolio management","feeBasis":"ceiling","fee_tiers":null,"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1021654","versionId":1021654,"ratePeriod":"annual","fee_billing":"both","submittedOn":"2026-03-19","documentName":"HOROWITZ & COMPANY DISCLOSURE BROCHURE","fee_rate_low":null,"fee_rate_high":2,"fee_negotiable":true,"minimum_account":null,"feeMinimumPeriod":null,"fee_minimum_annual":null},{"role":"other","program":"Financial planning and consulting","summary":"Fixed fee from $500 for simple engagements up to $10,000 for complex financial planning, or hourly from $250 to $400 per hour for consulting; negotiable.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1021654","versionId":1021654,"submittedOn":"2026-03-19","documentName":"HOROWITZ & COMPANY DISCLOSURE BROCHURE"},{"role":"other","program":"Pension consulting","summary":"Fixed fee or an annual percentage of plan assets, generally between 0.25% and 1.00%, negotiable and invoiced in advance.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1021654","versionId":1021654,"submittedOn":"2026-03-19","documentName":"HOROWITZ & COMPANY DISCLOSURE BROCHURE"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T11:52:56.398189+00:00","documents":[{"name":"HOROWITZ & COMPANY DISCLOSURE BROCHURE","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1021654","versionId":1021654,"submittedOn":"2026-03-19"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"Westlake, TX","smaAssets":171351691}],"custodyNote":"Horowitz & Company has custody of $21.8M in client assets for 47 clients.","otherCustodians":[],"leadership":[{"name":"Andrew Horowitz","title":"President","crd":"1521621"},{"name":"Andrew Horowitz","title":"Chief Compliance Officer","crd":"1521621"},{"name":"Kevin Hoffmann","title":"Chief Investment Officer","crd":"8144867"}],"ownership":[{"label":"Andrew Horowitz","detail":"President in the 75% or more ownership band and a control person, since October 1991. Also chief compliance officer in the 75% or more ownership band and a control person, since January 2000."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Florida","offices":1,"addresses":[{"street":"901 South Federal Highway, Suite 202","city":"Fort Lauderdale","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"954-349-0800","stateRegisteredReps":2,"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","Portfolio management for businesses (other than small businesses) or institutional clients","Pension consulting services","Selection of other advisers (including private fund managers)"],"financialPlanningClients":"0","assetMix":[{"label":"Exchange-traded equity securities","percent":10},{"label":"U.S. government/agency bonds","percent":3},{"label":"Securities issued by registered investment companies or business development companies","percent":77},{"label":"Cash and cash equivalents","percent":10}],"privateFunds":0},"sources":{"adv1FilingDate":"19 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/106737/PDF/106737.pdf","brochureDate":"19 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1021654","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 Horowitz & Company have?","answer":"Horowitz & Company has 206 clients and manages $181 million for them, as of March 2026. They include 157 individual clients, 42 high-net-worth individuals, and 6 corporations and other businesses.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 19 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Horowitz & Company offer?","answer":"Horowitz & Company provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, 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":"How much does Horowitz & Company charge?","answer":"Horowitz & Company charges up to 2.00% a year for its Portfolio management. The fee is billed in advance or in arrears and is negotiable.","source":"HOROWITZ & COMPANY DISCLOSURE BROCHURE, filed 19 March 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Horowitz & Company use?","answer":"Horowitz & Company’s separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $171M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 19 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Horowitz & Company have?","answer":"Horowitz & Company has 2 investment adviser representatives registered with state securities authorities, out of 2 employees, and 2 perform investment advisory functions. 0 employees are registered representatives of a broker-dealer and 1 employee is a licensed insurance agent.","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 Horowitz & Company invest in?","answer":"At the end of its last fiscal year, Horowitz & Company’s separately managed accounts held 77% registered funds (mutual funds, ETFs, BDCs), 10% exchange-traded equities, 10% cash and equivalents and 3% 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 Horowitz & Company?","answer":"Horowitz & Company’s direct owner is Andrew Horowitz (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 19 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Horowitz & Company get paid?","answer":"Horowitz & Company 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 Horowitz & Company?","answer":"Horowitz & Company’s main office is at 901 South Federal Highway, Suite 202, Fort Lauderdale, FL 33316. Its phone number is 954-349-0800. Its website is thedisciplinedinvestor.com.","source":"Form ADV Part 1A, Item 1.F, filed 19 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."}