General Counsel

0001560717-16-000014.txt : 20160510 0001560717-16-000014.hdr.sgml : 20160510 20160510132547 ACCESSION NUMBER: 0001560717-16-000014 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20160331 FILED AS OF DATE: 20160510 DATE AS OF CHANGE: 20160510 EFFECTIVENESS DATE: 20160510 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Horizon Investments, LLC CENTRAL INDEX KEY: 0001560717 IRS NUMBER: 582461603 STATE OF INCORPORATION: SC FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-15165 FILM NUMBER: 161634855 BUSINESS ADDRESS: STREET 1: 13024 BALLANTYNE CORPORATE PLACE STREET 2: SUITE 225 CITY: CHARLOTTE STATE: NC ZIP: 28277 BUSINESS PHONE: 704-544-2399 MAIL ADDRESS: STREET 1: 13024 BALLANTYNE CORPORATE PLACE STREET 2: SUITE 225 CITY: CHARLOTTE STATE: NC ZIP: 28277 FORMER COMPANY: FORMER CONFORMED NAME: Horizon Investments, LLC/SC DATE OF NAME CHANGE: 20121019 13F-HR 1 primary_doc.xml 13F-HR LIVE 0001560717 XXXXXXXX 03-31-2016 03-31-2016 Horizon Investments, LLC

13024 Ballantyne Corporate Place Suite 225 Charlotte NC 28277

13F HOLDINGS REPORT 028-15165 N Matt Chambers General Counsel 704-544-2399 Matt Chambers, General Counsel Charlotte NC 05-06-2016 1 104 1246135 false 1 FOUNDERS FINANCIAL SECURITIES LLC INFORMATION TABLE 2 HZIform13fInfoTable.xml ATT INC COM 00206R102 200 5098 SH SOLE NONE 5098 0 0 ABBOTT LABORATORIES COM 002824100 4121 98510 SH SOLE NONE 12608 0 85902 APOLLO COMMERCIAL REAL ESTATE COM 03762U105 297 18195 SH SOLE NONE 0 0 18195 APPLE INC COM 037833100 3500 32114 SH SOLE NONE 4487 0 27627 ARES CAPITAL CORPORATION COM 04010L103 283 19069 SH SOLE NONE 0 0 19069 BIOGEN IDEC INC COM 09062X103 503 1933 SH SOLE NONE 1933 0 0 CBL ASSOCIATES PROPERTIES, IN COM 124830100 214 17955 SH SOLE NONE 0 0 17955 CENTURYLINK INC COM 156700106 272 8526 SH SOLE NONE 8526 0 0 CHIPOTLE MEXICAN GRILL, INC. C COM 169656105 384 816 SH SOLE NONE 816 0 0 DEERE CO COM 244199105 3200 41567 SH SOLE NONE 0 0 41567 DIAGEO PLC ADR COM 25243Q205 1795 16640 SH SOLE NONE 0 0 16640 EMERSON ELECTRIC CO. COM 291011104 3851 70808 SH SOLE NONE 0 0 70808 EXPRESS SCRIPTS COM 30219G108 478 6954 SH SOLE NONE 6954 0 0 EXXON MOBIL CORPORATION COM 30231G102 583 6971 SH SOLE NONE 6971 0 0 FACEBOOK INC CLASS A COM 30303M102 214 1872 SH SOLE NONE 1872 0 0 FIFTH THIRD BANCORP COM 316773100 3069 183903 SH SOLE NONE 0 0 183903 FIRST TRUST LARGE CAP CORE ALP COM 33734K109 24531 549902 SH SOLE NONE 54207 0 495695 FIRST TRUST LARGE CAP VALUE AL COM 33735J101 12547 308738 SH SOLE NONE 0 0 308738 FIRST TRUST LARGE CAP GR OPP A COM 33735K108 12065 249955 SH SOLE NONE 0 0 249955 FIRST TRUST ENH SHORT MAT FD COM 33739Q408 1491 24924 SH SOLE NONE 0 0 24924 FORD MOTOR CO COM 345370860 3420 253352 SH SOLE NONE 0 0 253352 GENERAL ELECTRIC CO COM 369604103 248 7796 SH SOLE NONE 7796 0 0 GILEAD SCIENCES INC COM 375558103 511 5559 SH SOLE NONE 5559 0 0 GLADSTONE COMMER COM 376536108 344 21025 SH SOLE NONE 0 0 21025 GLAXOSMITHKLINE PLC ADR COM 37733W105 3490 86077 SH SOLE NONE 0 0 86077 HOME DEPOT, INC. COM 437076102 367 2752 SH SOLE NONE 2752 0 0 HORIZON TECHNOLOGY FINANCE COR COM 44045A102 189 16277 SH SOLE NONE 0 0 16277 INTERNATIONAL BUSINESS MACHINE COM 459200101 3851 25428 SH SOLE NONE 0 0 25428 INVESTORS REAL ESTATE TRUST COM 461730103 211 29004 SH SOLE NONE 0 0 29004 ISHARES CORE SP 500 COM 464287200 3049 14756 SH SOLE NONE 0 0 14756 ISHARES CORE US AGGREGATE BOND COM 464287226 91248 823314 SH SOLE NONE 587165 0 236149 ISHARES IBOXX $ INVST GRADE CR COM 464287242 26030 219074 SH SOLE NONE 156627 0 62447 ISHARES SP 500 GROWTH COM 464287309 151534 1307571 SH SOLE NONE 914965 0 392606 ISHARES SP 500 VALUE COM 464287408 151154 1680791 SH SOLE NONE 1175964 0 504827 ISHARES 7-10 YEAR TREASURY BON COM 464287440 1000 9059 SH SOLE NONE 0 0 9059 ISHARES 1-3 YEAR TREASURY BOND COM 464287457 63016 741101 SH SOLE NONE 335891 0 405210 ISHARES RUSSELL MID-CAP COM 464287499 3154 19357 SH SOLE NONE 0 0 19357 ISHARES CORE SP MID-CAP COM 464287507 1433 9937 SH SOLE NONE 0 0 9937 ISHARES RUSSELL 2000 GROWTH COM 464287648 1339 10095 SH SOLE NONE 10095 0 0 ISHARES RUSSELL 2000 COM 464287655 443 4002 SH SOLE NONE 0 0 4002 ISHARES US TELECOMMUNICATIONS COM 464287713 2544 82771 SH SOLE NONE 82328 0 443 ISHARES MSCI ACWI EX US INDEX COM 464288240 74009 1874583 SH SOLE NONE 1277763 0 596820 ISHARES NATIONAL AMT-FREE MUNI COM 464288414 3295 29510 SH SOLE NONE 0 0 29510 ISHARES 3-7 YEAR TREASURY BOND COM 464288661 60057 476830 SH SOLE NONE 419824 0 57006 ISHARES SHORT TREASURY BOND COM 464288679 12937 117224 SH SOLE NONE 113562 0 3662 ISHARES RUSSELL TOP 200 GROWTH COM 464289438 1332 24794 SH SOLE NONE 24794 0 0 ISHARES RUSSELL TOP 200 COM 464289446 1332 28427 SH SOLE NONE 28427 0 0 JOHNSON JOHNSON COM 478160104 253 2341 SH SOLE NONE 2341 0 0 MASTERCARD INCORPORATED CLASS COM 57636Q104 521 5516 SH SOLE NONE 5516 0 0 MICROSOFT CORPORATION COM 594918104 360 6523 SH SOLE NONE 6523 0 0 NEW MOUNTAIN FINANCE CORP COM 647551100 372 29463 SH SOLE NONE 0 0 29463 PAYPAL COM 70450Y103 485 12553 SH SOLE NONE 12553 0 0 POWERSHARES DYNAMIC LARGE CAP COM 73935X609 6664 215809 SH SOLE NONE 0 0 215809 POWERSHARES DYNAMIC LARGE CAP COM 73935X708 6443 214337 SH SOLE NONE 0 0 214337 T. ROWE PRICE GROUP COM 74144T108 518 7052 SH SOLE NONE 7052 0 0 PROSHARES ULTRASHORT 20+ YEAR COM 74347B201 201 5447 SH SOLE NONE 0 0 5447 ROBERT HALF INTERNATIONAL INC. COM 770323103 441 9476 SH SOLE NONE 9476 0 0 SPDR SP 500 COM 78462F103 178331 867704 SH SOLE NONE 659474 0 208230 SPDR MSCI ACWI (EX-US) COM 78463X848 6561 212936 SH SOLE NONE 0 0 212936 SPDR DOUBLELINE TR TACT ETF COM 78467V848 24487 495899 SH SOLE NONE 376507 0 119392 SPDR DOW JONES INDUSTRIAL AVER COM 78467X109 132494 750081 SH SOLE NONE 513142 0 236939 HEALTH CARE SELECT SECTOR SPDR COM 81369Y209 1864 27497 SH SOLE NONE 27497 0 0 CONSUMER STAPLES SELECT SECTOR COM 81369Y308 2666 50237 SH SOLE NONE 50180 0 57 UTILITIES SELECT SECTOR SPDR E COM 81369Y886 2289 46127 SH SOLE NONE 46071 0 56 SOLAR CAPITAL, LTD. COM 83413U100 364 21057 SH SOLE NONE 0 0 21057 STARWOOD PROPERTY TRUST, INC. COM 85571B105 305 16138 SH SOLE NONE 0 0 16138 UNITED PARCEL SERVICE INC (UPS COM 911312106 3603 34161 SH SOLE NONE 5077 0 29084 UNIVERSAL HEALTH SERVICES, INC COM 913903100 313 2508 SH SOLE NONE 2508 0 0 VANGUARD TOTAL BOND MARKET ETF COM 921937835 360 4342 SH SOLE NONE 0 0 4342 VANGUARD FTSE DEVELOPED MARKET COM 921943858 2138 59588 SH SOLE NONE 0 0 59588 VANGUARD TOTAL INTL BD IDX ETF COM 92203J407 48758 893988 SH SOLE NONE 680582 0 213406 VIACOM, INC. CLASS B COM 92553P201 2887 69939 SH SOLE NONE 0 0 69939 WAL-MART STORES INC COM 931142103 3896 56880 SH SOLE NONE 7391 0 49489 WELLS FARGO CO COM 949746101 203 4198 SH SOLE NONE 4198 0 0 MICHAEL KORS HOLDINGS LTD COM G60754101 492 8645 SH SOLE NONE 8645 0 0 TRANSOCEAN LTD COM H8817H100 341 37320 SH SOLE NONE 37320 0 0 BAY BANCORP INC COM 07203T106 107 22217 SH DFND 01 0 0 22217 DB X-TRACKERS MSCI EAFE HEDGED COM 233051200 10586 414503 SH DFND 01 0 0 414503 FIRST TRUST DOW JONES INTERNET COM 33733E302 666 9752 SH DFND 01 0 0 9752 FIRST TRUST CONSUMER DISC ALPH COM 33734X101 685 19463 SH DFND 01 0 0 19463 FIRST TRUST CONSUMER STAPLES A COM 33734X119 675 14640 SH DFND 01 0 0 14640 FIRST TRUST ENERGY ALPHADEX COM 33734X127 609 43138 SH DFND 01 0 0 43138 FIRST TRUST UTILITIES ALPHADEX COM 33734X184 680 26185 SH DFND 01 0 0 26185 ISHARES CORE US AGGREGATE BOND COM 464287226 795 7170 SH DFND 01 0 0 7170 ISHARES IBOXX $ INVST GRADE CR COM 464287242 411 3463 SH DFND 01 0 0 3463 ISHARES 20+ YEAR TREASURY BOND COM 464287432 586 4488 SH DFND 01 0 0 4488 ISHARES 7-10 YEAR TREASURY BON COM 464287440 606 5489 SH DFND 01 0 0 5489 ISHARES 1-3 YEAR TREASURY BOND COM 464287457 10670 125488 SH DFND 01 0 0 125488 ISHARES RUSSELL 1000 GROWTH COM 464287614 6863 68781 SH DFND 01 0 0 68781 ISHARES GOVERNMENT/CREDIT BOND COM 464288596 614 5336 SH DFND 01 0 0 5336 ISHARES INTERMEDIATE CREDIT BD COM 464288638 613 5591 SH DFND 01 0 0 5591 ISHARES 10-20 YEAR TREASURY BO COM 464288653 615 4343 SH DFND 01 0 0 4343 ISHARES MSCI USA QUALITY FACTO COM 46432F339 6970 106216 SH DFND 01 0 0 106216 PIMCO 0-5 YEAR HIGH YLD CORP B COM 72201R783 380 4088 SH DFND 01 0 0 4088 SPDR SP 500 COM 78462F103 6288 30594 SH DFND 01 0 0 30594 SPDR DOUBLELINE TR TACT ETF COM 78467V848 390 7888 SH DFND 01 0 0 7888 VANGUARD SHORT-TERM BOND ETF COM 921937827 3229 40047 SH DFND 01 0 0 40047 VANGUARD TOTAL BOND MARKET ETF COM 921937835 630 7612 SH DFND 01 0 0 7612 VANGUARD TOTAL WORLD STOCK IND COM 922042742 6353 110130 SH DFND 01 0 0 110130 VANGUARD EMERGING MARKETS STOC COM 922042858 2379 68784 SH DFND 01 0 0 68784 VANGUARD MID-CAP ETF COM 922908629 5696 46982 SH DFND 01 0 0 46982 VANGUARD VALUE ETF COM 922908744 6311 76595 SH DFND 01 0 0 76595 VANGUARD SMALL CAP ETF COM 922908751 2845 25514 SH DFND 01 0 0 25514 SPDR S&P 500 ETF TR COM 78462F103 5138 150000 SH Call SOLE NONE 0 0 150000