Source: https://horizon-advisors.com/disclosures/
Timestamp: 2019-11-13 05:29:25
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Horizon Advisors: Disclosures for Houston Financial Advisor ADV Part 2
Horizon is a Registered Investment Adviser (“RIA”). Registration of an Investment Adviser does not imply any level of skill or training; however, it does make Horizon subject to scrutiny and oversight by the U. S. Securities and Exchange Commission (“SEC”). In addition to imposing a “fiduciary duty” on our firm, our registration requires us to comply with various rules and pronouncements by the SEC. Click here to review our ADV Part 2.
The SEC requires investment advisers to complete a Form ADV to register with the SEC. The form consists of ADV Part 1 and ADV Part 2. The following is a description of both parts of the form as well as other useful information.
Part 1 requires information about the investment adviser’s business, ownership, clients, employees, business practices, affiliations, and any disciplinary events of the adviser or its employees. Part 1 is organized in a check-the-box, fill-in-the-blank format. The SEC reviews the information from this part of the form to process registrations and manage its regulatory and examination programs. Although designed for a regulatory purpose, investment adviser filings of Part 1 are available to the public on the SEC’s Investment Adviser Public Disclosure (IAPD) website at www.adviserinfo.sec.gov.
Investment advisers are required to deliver annually to clients a summary of material changes to the brochure and either deliver a complete updated brochure or offer to provide the client with the updated brochure. In addition, an investment adviser must deliver to clients a brochure supplement that provides information about the specific employees, acting on behalf of the investment adviser, who actually provide the investment advice to the client. The brochure supplement also includes contact information for the person’s supervisor in case the client has a concern about the person. The brochure supplement must be delivered either before or at the time that the employee begins to provide investment advice to a client. An updated supplement must be delivered to clients when there is new disclosure of a disciplinary event, or a material change to disciplinary information that has already been disclosed.
Source: http://www.sec.gov/answers/formadv.htm, March 31, 2014.