Horizon Technology Finance

RIASEC RegisteredEst. 2010

Total AUM

$811M

Discretionary

$811M

100% of AUM

Avg account

$811M

Accounts

Employees

Advisory reps

Firm details

Headquarters: Farmington, Connecticut
CRD number: 153052
Registered since: March 11, 2010
Website: horizontechfinance.com
Fee structure: Percentage of AUM, Performance Based Fees
Client types: Business Development Companies100%
Services: Portfolio Management for Investment Companies

Firm profile

FINTRX

Overview

Horizon Technology Finance is an SEC-registered investment adviser organized as an LLC that provides portfolio management services to investment companies. The firm reports an institutional client base and charges fees based on a percentage of assets under management supplemented by performance-based fees. Regulatory filings indicate the adviser has been registered with the SEC since 2010 and operates under domestic ownership structures. The firm does not identify as an active ESG investor and is not registered as a multi-state adviser. Its stated advisory activity centers on managing portfolios for investment companies rather than providing broad retail wealth management. Horizon Technology Finance also lists roles consistent with sponsor or general partner activity and marketplace participant functions such as CPO/CTA involvement in pooled vehicles.

Assets & Accounts

Investments & Alternatives

Read the full firm profile in FINTRX →

Investment profile

FINTRX

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

FINTRX

CRM & tech providers

TAMPs used

Clients

FINTRX

Client base

Client personas

Owners & executives

3 of 3

Paul Seitz
Senior Vice President and Chief Investment OfficerCRD 8119297
John Bombara
Executive Vice President, General Counsel, Chief Compliance OfficerCRD 5759035
Lynn Dombrowski
Chief Accounting OfficerCRD 7718142