← Tributary

HORIZON TECHNOLOGY FINANCE

FARMINGTON, CT · CRD 153052 · IAPD ↗ · horizontechfinance.com · 860-676-8654

$811.1MRegulatory AUM
14Advisory reps
23Employees
0Clients
n/aPlanning clients
0Private funds
7States
2Disclosures
institutionalSegment
ApprovedSEC status

Filing changes

43
July 2026 — HORIZON TECHNOLOGY FINANCE's Item 11 disclosure-reporting entries rose by 2 (0 -> 2).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
43
April 2026 — HORIZON TECHNOLOGY FINANCE shrank from 21 to 14 advisory reps.
Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
Recruiting & transitionsM&A & valuation
35
April 2024 — HORIZON TECHNOLOGY FINANCE notice-filed in CO.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.