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Investment Adviser Firm Summary

HORIZON ASSET MANAGEMENT LLC (CRD# 106096 / SEC# 801-47515)
Alternate Names: HORIZON ASSET MANAGEMENT INC , HORIZON ASSET MANAGEMENT LLC

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 09/23/1994

NOTICE FILINGS


Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.


JURISDICTION EFFECTIVE DATE
Alabama 04/28/2005
Alaska 01/21/2010
Arizona 02/25/2005
Arkansas 03/14/2007
California 01/06/1995
Colorado 02/25/2005
Connecticut 08/28/1997
Delaware 03/20/2007
District of Columbia 02/25/2005
Florida 11/08/1994
Georgia 11/17/1994
Hawaii 03/12/2007
Idaho 03/12/2007
Illinois 12/03/2003
Indiana 09/18/2002
Iowa 03/13/2007
Kansas 03/12/2007
Kentucky 03/12/2007
Louisiana 03/20/2007
Maine 03/12/2007
Maryland 01/01/1995
Massachusetts 08/02/1996
Michigan 09/30/2004
Minnesota 03/08/2005
Mississippi 03/12/2007
Missouri 09/30/2004
Montana 01/21/2010
Nebraska 01/21/2010
Nevada 03/24/2005
New Hampshire 10/15/2003
New Jersey 12/01/1994
New Mexico 03/12/2007
New York 11/22/1994
North Carolina 02/08/2001
North Dakota 01/21/2010
Ohio 09/30/2004
Oklahoma 03/24/2005
Oregon 03/12/2007
Pennsylvania 01/18/1995
Rhode Island 03/24/2005
South Carolina 03/24/2005
South Dakota 01/21/2010
Tennessee 10/01/2004
Texas 11/22/1994
Utah 02/25/2005
Vermont 09/30/2004
Virgin Islands 01/21/2010
Virginia 07/11/1997
Washington 12/01/1994
West Virginia 01/21/2010
Wisconsin 02/25/2005

EXEMPT REPORTING ADVISERS


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.


Not Currently an Exempt Reporting Adviser