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, institutional registered investment adviser organized as a limited liability company and registered in 2010. The firm serves institutional clients and focuses its advisory work on portfolio management for investment companies. Its compensation model combines a percentage‑of‑AUM fee with performance‑based fees. Horizon is not designated as an active ESG investor, and it is not registered as a multi‑state adviser. Corporate affiliations indicate the firm can operate in multiple capacities, including as an investment adviser, a CPO/CTA, and as sponsor, general partner or managing member of pooled investment 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