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Horizon Wealth Advisors is an SEC-registered investment advisor location in Houston, Texas. Horizon’s website is limited to the dissemination of general information pertaining to its advisory services, together with access to additional investment-related information, publications, and links. Accordingly, the publication of Horizon’s website on the Internet should not be construed by any user and/or prospective client as Horizon’s solicitation to effect, or attempt to effect transactions in securities, or the rendering of personalized investment advice for compensation, over the Internet. Any subsequent, direct communication by Horizon with a prospective client shall by conducted by a representative that is either registered or qualifies for an exemption or exclusion from registration in the state where the prospective client resides. Horizon does not make any representations or warranties as to the accuracy, timeliness, suitability, completeness, or relevance of any information prepared by any unaffiliated third party, whether linked to the Horizon website or incorporated herein. All such information is provided solely for convenience purposes only and all users thereof should be guided accordingly.
Investing involves various types of risk, and there can be no assurance that the future performance of any specific investment or investment strategy (including those undertaken or recommended by Horizon), will be profitable or equal any historical performance level(s). No client or prospective client should assume that any information contained within the website serves as the receipt of, or a substitute for, personalized advice from Horizon, or from any other investment professional. No portion of the website content should be interpreted as legal, accounting, or tax advice.
Additional information about Horizon Wealth Advisors is available on the Securities and Exchange Commission website at www.adviserinfo.sec.gov. SEC registration does not imply any level of skill or training.
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.
Part 2 requires investment advisers to prepare narrative brochures written in plain English that contain information such as the types of advisory services offered, the adviser’s fee schedule, disciplinary information, conflicts of interest, and the educational and business background of management and key advisory personnel of the adviser. The brochure is the primary disclosure document that investment advisers provide to their clients. When filed, the brochures are available to the public on the IAPD website.
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.
Before you hire someone to be your investment adviser, always ask for, and read carefully, both parts of the adviser’s Form ADV. You can find a copy of an investment adviser’s most recent Form ADV on the IAPD website. Most state-registered advisers file Form ADV electronically and their Form ADV (Part 1) filings also are available on IAPD.
Source: http://www.sec.gov/answers/formadv.htm, March 31, 2014.