0001560717-18-000001.txt : 20180213 0001560717-18-000001.hdr.sgml : 20180213 20180213153656 ACCESSION NUMBER: 0001560717-18-000001 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20171231 FILED AS OF DATE: 20180213 DATE AS OF CHANGE: 20180213 EFFECTIVENESS DATE: 20180213 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: 18602885 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 12-31-2017 12-31-2017 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 02-13-2018 1 166 628371 false 1 FOUNDERS FINANCIAL SECURITIES LLC
INFORMATION TABLE 2 HZIform13fInfoTable.xml AMGEN INC COM COM 031162100 582 3631 SH SOLE NONE 0 0 3631 APOLLO INVT CORP COM COM 03761U106 99 17457 SH SOLE NONE 0 0 17457 BANK N S HALIFAX COM COM 064149107 569 10361 SH SOLE NONE 0 0 10361 BHP BILLITON LTD SPONSORED ADR COM 088606108 515 14643 SH SOLE NONE 0 0 14643 CISCO SYS INC COM COM 17275R102 743 22204 SH SOLE NONE 0 0 22204 CLOROX CO DEL COM COM 189054109 642 4858 SH SOLE NONE 0 0 4858 COCA COLA CO COM COM 191216100 401 9189 SH SOLE NONE 0 0 9189 DBX ETF TR XTRACK USD HIGH COM 233051432 8883 173742 SH SOLE NONE 14149 0 159593 DELTA AIR LINES INC DEL COM NE COM 247361702 603 12305 SH SOLE NONE 0 0 12305 FIRST TR LRG CP VL ALPHADEX CO COM 33735J101 6010 122477 SH SOLE NONE 0 0 122477 FIRST TR LRG CP GRWTH ALPHAD C COM 33735K108 5623 105083 SH SOLE NONE 0 0 105083 FIRST TR EXCH TRADED FD III HO COM 33739P871 206 6445 SH SOLE NONE 0 0 6445 FIRST TR EXCH TRADED FD III HO COM 33739P889 440 20597 SH SOLE NONE 0 0 20597 GLAXOSMITHKLINE PLC SPONSORED COM 37733W105 786 18179 SH SOLE NONE 0 0 18179 HSBC HLDGS PLC SPON ADR NEW COM 404280406 994 22385 SH SOLE NONE 0 0 22385 HONEYWELL INTL INC COM COM 438516106 403 3067 SH SOLE NONE 0 0 3067 HORIZON TECHNOLOGY FIN CORP CO COM 44045A102 123 10732 SH SOLE NONE 0 0 10732 INTERNATIONAL BUSINESS MACHS C COM 459200101 1026 6673 SH SOLE NONE 0 0 6673 ISHARES TR CORE SP500 ETF COM 464287200 2793 11612 SH SOLE NONE 0 0 11612 ISHARES TR CORE US AGGBD ET COM 464287226 8373 76876 SH SOLE NONE 0 0 76876 ISHARES TR MSCI EMG MKT ETF COM 464287234 219 5313 SH SOLE NONE 0 0 5313 ISHARES TR IBOXX INV CP ETF COM 464287242 10540 88549 SH SOLE NONE 7168 0 81381 ISHARES TR SP 500 VAL ETF COM 464287408 371 3580 SH SOLE NONE 0 0 3580 ISHARES TR BARCLAYS 7 10 YR COM 464287440 9465 89133 SH SOLE NONE 7226 0 81907 ISHARES TR 1 3 YR TREAS BD COM 464287457 5798 68588 SH SOLE NONE 0 0 68588 ISHARES TR RUS MID CAP ETF COM 464287499 4888 25948 SH SOLE NONE 0 0 25948 ISHARES TR CORE SP MCP ETF COM 464287507 1305 7611 SH SOLE NONE 0 0 7611 ISHARES TR RUSSELL 2000 ETF COM 464287655 432 3138 SH SOLE NONE 0 0 3138 ISHARES TR JPMORGAN USD EMG COM 464288281 9992 86907 SH SOLE NONE 7066 0 79841 ISHARES TR NATIONAL MUN ETF COM 464288414 827 7549 SH SOLE NONE 0 0 7549 ISHARES TR IBOXX HI YD ETF COM 464288513 4277 48617 SH SOLE NONE 0 0 48617 ISHARES TR 1 3 YR CR BD ETF COM 464288646 1913 18172 SH SOLE NONE 0 0 18172 ISHARES TR 3 7 YR TREAS BD COM 464288661 4381 35472 SH SOLE NONE 2918 0 32554 ISHARES TR SHORT TREAS BD COM 464288679 398 3609 SH SOLE NONE 0 0 3609 ISHARES TR SP US PFD STK COM 464288687 2869 73779 SH SOLE NONE 0 0 73779 ISHARES TR US AER DEF ETF COM 464288760 10870 71102 SH SOLE NONE 5053 0 66049 ISHARES INC CORE MSCI EMKT COM 46434G103 23363 467726 SH SOLE NONE 33326 0 434400 ISHARES TR EXPONENTIAL TECH COM 46434V381 4621 148245 SH SOLE NONE 0 0 148245 JOHNSON JOHNSON COM COM 478160104 741 5996 SH SOLE NONE 0 0 5996 KIMBERLY CLARK CORP COM COM 494368103 1140 8904 SH SOLE NONE 0 0 8904 LOWES COS INC COM COM 548661107 1147 13518 SH SOLE NONE 0 0 13518 MEDLEY CAP CORP COM COM 58503F106 80 15253 SH SOLE NONE 0 0 15253 MERCK CO INC COM COM 58933Y105 952 14982 SH SOLE NONE 0 0 14982 NOVARTIS A G SPONSORED ADR COM 66987V109 792 9842 SH SOLE NONE 0 0 9842 PEPSICO INC COM COM 713448108 644 5705 SH SOLE NONE 0 0 5705 POWERSHARES ETF TRUST FINL PFD COM 73935X229 5193 273038 SH SOLE NONE 21507 0 251531 POWERSHARES ETF TRUST DYNM LRG COM 73935X609 5553 157949 SH SOLE NONE 0 0 157949 POWERSHARES ETF TR II SP600 LO COM 73937B639 4192 97879 SH SOLE NONE 0 0 97879 POWERSHARES ETF TR II PWRSHS S COM 73937B654 7353 185631 SH SOLE NONE 0 0 185631 PROCTER AND GAMBLE CO COM COM 742718109 569 6596 SH SOLE NONE 0 0 6596 SPDR INDEX SHS FDS EURO STOXX COM 78463X202 24534 627463 SH SOLE NONE 45134 0 582329 SPDR INDEX SHS FDS MSCI ACWI E COM 78463X848 14356 403607 SH SOLE NONE 0 0 403607 SPDR SERIES TRUST PORTFOLIO MD COM 78464A847 13028 387628 SH SOLE NONE 27662 0 359966 SSGA ACTIVE ETF TR SPDR TR TAC COM 78467V848 8237 167830 SH SOLE NONE 13613 0 154217 SANOFI SPONSORED ADR COM 80105N105 1113 22164 SH SOLE NONE 0 0 22164 THL CR INC COM COM 872438106 105 11620 SH SOLE NONE 0 0 11620 TOTAL S A SPONSORED ADR COM 89151E109 1014 18798 SH SOLE NONE 0 0 18798 VANGUARD BD INDEX FD INC TOTAL COM 921937835 397 4875 SH SOLE NONE 0 0 4875 VANGUARD WHITEHALL FDS INC HIG COM 921946406 11784 152884 SH SOLE NONE 10874 0 142010 VANGUARD SCOTTSDALE FDS INT-TE COM 92206C870 6195 71153 SH SOLE NONE 5835 0 65318 VANGUARD INDEX FDS GROWTH ETF COM 922908736 56563 449558 SH SOLE NONE 32036 0 417522 VANGUARD INDEX FDS VALUE ETF COM 922908744 68001 716029 SH SOLE NONE 50941 0 665088 VANGUARD INDEX FDS SMALL CP ET COM 922908751 7382 55439 SH SOLE NONE 6309 0 49130 WAL-MART STORES INC COM COM 931142103 771 10187 SH SOLE NONE 0 0 10187 WELLS FARGO CO NEW COM COM 949746101 595 11219 SH SOLE NONE 0 0 11219 WISDOMTREE TR JAPN HEDGE EQT COM 97717W851 16321 312969 SH SOLE NONE 22452 0 290517 XCEL ENERGY INC COM COM 98389B100 575 12606 SH SOLE NONE 0 0 12606 AFLAC INC COM COM 001055102 1384 18847 SH DFND 01 0 0 18847 AIR PRODS CHEMS INC COM COM 009158106 1363 8309 SH DFND 01 0 0 8309 ALEXANDRIA REAL ESTATE EQ IN C COM 015271109 1664 12744 SH DFND 01 0 0 12744 ALLIANT ENERGY CORP COM COM 018802108 420 10602 SH DFND 01 0 0 10602 AMEREN CORP COM COM 023608102 585 10646 SH DFND 01 0 0 10646 AMERICAN ELEC PWR INC COM COM 025537101 782 11483 SH DFND 01 0 0 11483 AMERICAN EXPRESS CO COM COM 025816109 1371 17698 SH DFND 01 0 0 17698 AMERICAN INTL GROUP INC COM NE COM 026874784 1031 16911 SH DFND 01 0 0 16911 AMERICAN WTR WKS CO INC NEW CO COM 030420103 215 2819 SH DFND 01 0 0 2819 AMETEK INC NEW COM COM 031100100 1096 18435 SH DFND 01 0 0 18435 AMPHENOL CORP NEW CL A COM 032095101 1888 25912 SH DFND 01 0 0 25912 APARTMENT INVT MGMT CO CL A COM 03748R101 1246 28505 SH DFND 01 0 0 28505 AVALONBAY CMNTYS INC COM COM 053484101 1440 8069 SH DFND 01 0 0 8069 BAXTER INTL INC COM COM 071813109 1021 18162 SH DFND 01 0 0 18162 BAY BANCORP INC COM COM 07203T106 272 22217 SH DFND 01 0 0 22217 BERKSHIRE HATHAWAY INC DEL CL COM 084670702 2013 10153 SH DFND 01 0 0 10153 CBOE GLOBAL MARKETS INC COM COM 12503M108 1025 8227 SH DFND 01 0 0 8227 CMS ENERGY CORP COM COM 125896100 713 15665 SH DFND 01 0 0 15665 CENTERPOINT ENERGY INC COM COM 15189T107 382 13458 SH DFND 01 0 0 13458 CHEVRON CORP NEW COM COM 166764100 1063 10033 SH DFND 01 0 0 10033 COCA COLA CO COM COM 191216100 2076 47628 SH DFND 01 0 0 47628 COGNIZANT TECHNOLOGY SOLUTIO C COM 192446102 1610 22671 SH DFND 01 0 0 22671 CONSOLIDATED EDISON INC COM COM 209115104 519 6500 SH DFND 01 0 0 6500 CONSTELLATION BRANDS INC CL A COM 21036P108 1242 5446 SH DFND 01 0 0 5446 DBX ETF TR XTRACK MSCI EAFE COM 233051200 11129 360988 SH DFND 01 0 0 360988 DTE ENERGY CO COM COM 233331107 784 7437 SH DFND 01 0 0 7437 DANAHER CORP DEL COM COM 235851102 1280 15457 SH DFND 01 0 0 15457 DOMINION ENERGY INC COM COM 25746U109 612 7858 SH DFND 01 0 0 7858 DUKE ENERGY CORP NEW COM NEW COM 26441C204 966 11567 SH DFND 01 0 0 11567 ECOLAB INC COM COM 278865100 1882 14027 SH DFND 01 0 0 14027 ENTERGY CORP NEW COM COM 29364G103 397 5239 SH DFND 01 0 0 5239 EQUITY RESIDENTIAL SH BEN INT COM 29476L107 1525 23498 SH DFND 01 0 0 23498 EVERSOURCE ENERGY COM COM 30040W108 736 12289 SH DFND 01 0 0 12289 EXELON CORP COM COM 30161N101 378 9581 SH DFND 01 0 0 9581 EXXON MOBIL CORP COM COM 30231G102 2494 30213 SH DFND 01 0 0 30213 FIDELITY NATL INFORMATION SV C COM 31620M106 1916 23051 SH DFND 01 0 0 23051 FIRST TR EXCHANGE TRADED FD CH COM 33733A102 310 9040 SH DFND 01 0 0 9040 FIRST TR EXCHANGE TRADED FD DJ COM 33733E302 599 6373 SH DFND 01 0 0 6373 FIRST TR BICK INDEX FD COM SHS COM 33733H107 286 11180 SH DFND 01 0 0 11180 FIRST TR NASDAQ100 TECH INDE S COM 337345102 579 9205 SH DFND 01 0 0 9205 FIRST TR EXCHANGE TRADED FD IN COM 33734X150 604 17460 SH DFND 01 0 0 17460 FIRST TR EXCHANGE TRADED FD TE COM 33734X176 549 12560 SH DFND 01 0 0 12560 FIRST TR EXCH TRD ALPHA FD I D COM 33737J174 304 5587 SH DFND 01 0 0 5587 FIRST TR EXCH TRD ALPHA FD I G COM 33737J190 306 7211 SH DFND 01 0 0 7211 FIRST TR EXCH TRD ALPHA FD I S COM 33737J232 328 6766 SH DFND 01 0 0 6766 FIRST TR EXCHANGE TRADED FD NA COM 33738R860 633 24702 SH DFND 01 0 0 24702 FISERV INC COM COM 337738108 1789 14934 SH DFND 01 0 0 14934 FORTIVE CORP COM COM 34959J108 1116 15421 SH DFND 01 0 0 15421 GALLAGHER ARTHUR J CO COM COM 363576109 1821 28778 SH DFND 01 0 0 28778 HARRIS CORP DEL COM COM 413875105 1724 12171 SH DFND 01 0 0 12171 HONEYWELL INTL INC COM COM 438516106 1581 12020 SH DFND 01 0 0 12020 ISHARES TR CORE US AGGBD ET COM 464287226 6949 63802 SH DFND 01 0 0 63802 ISHARES TR IBOXX INV CP ETF COM 464287242 3389 28473 SH DFND 01 0 0 28473 ISHARES TR RUS 1000 GRW ETF COM 464287614 7804 66505 SH DFND 01 0 0 66505 ISHARES TR EAFE SML CP ETF COM 464288273 4412 76993 SH DFND 01 0 0 76993 ISHARES TR IBOXX HI YD ETF COM 464288513 2674 30392 SH DFND 01 0 0 30392 ISHARES TR USA QUALITY FCTR COM 46432F339 4748 64849 SH DFND 01 0 0 64849 JOHNSON JOHNSON COM COM 478160104 1166 9432 SH DFND 01 0 0 9432 LILLY ELI CO COM COM 532457108 1084 13519 SH DFND 01 0 0 13519 LOCKHEED MARTIN CORP COM COM 539830109 1463 5395 SH DFND 01 0 0 5395 LOEWS CORP COM COM 540424108 1577 34457 SH DFND 01 0 0 34457 MARSH MCLENNAN COS INC COM COM 571748102 1001 13648 SH DFND 01 0 0 13648 MID AMER APT CMNTYS INC COM COM 59522J103 1233 12539 SH DFND 01 0 0 12539 MOODYS CORP COM COM 615369105 1147 7770 SH DFND 01 0 0 7770 NASDAQ INC COM COM 631103108 1150 17024 SH DFND 01 0 0 17024 NEXTERA ENERGY INC COM COM 65339F101 498 3674 SH DFND 01 0 0 3674 NISOURCE INC COM COM 65473P105 237 9750 SH DFND 01 0 0 9750 NORTHROP GRUMMAN CORP COM COM 666807102 937 3788 SH DFND 01 0 0 3788 PPL CORP COM COM 69351T106 657 16954 SH DFND 01 0 0 16954 PEPSICO INC COM COM 713448108 1904 16864 SH DFND 01 0 0 16864 PFIZER INC COM COM 717081103 1403 42494 SH DFND 01 0 0 42494 PHILIP MORRIS INTL INC COM COM 718172109 1470 13157 SH DFND 01 0 0 13157 PINNACLE WEST CAP CORP COM COM 723484101 677 7988 SH DFND 01 0 0 7988 PROCTER AND GAMBLE CO COM COM 742718109 2180 25294 SH DFND 01 0 0 25294 PUBLIC SVC ENTERPRISE GROUP CO COM 744573106 250 5854 SH DFND 01 0 0 5854 RAYTHEON CO COM NEW COM 755111507 999 5342 SH DFND 01 0 0 5342 REALTY INCOME CORP COM COM 756109104 1106 19472 SH DFND 01 0 0 19472 REPUBLIC SVCS INC COM COM 760759100 1588 25335 SH DFND 01 0 0 25335 ROPER TECHNOLOGIES INC COM COM 776696106 997 4502 SH DFND 01 0 0 4502 SPDR SP 500 ETF TR TR UNIT COM 78462F103 14792 61897 SH DFND 01 0 0 61897 SSGA ACTIVE ETF TR SPDR TR TAC COM 78467V848 3418 69634 SH DFND 01 0 0 69634 SEMPRA ENERGY COM COM 816851109 590 5282 SH DFND 01 0 0 5282 SOUTHERN CO COM COM 842587107 522 10477 SH DFND 01 0 0 10477 TORCHMARK CORP COM COM 891027104 1476 19619 SH DFND 01 0 0 19619 UDR INC COM COM 902653104 1414 37023 SH DFND 01 0 0 37023 US BANCORP DEL COM NEW COM 902973304 1060 20610 SH DFND 01 0 0 20610 VANGUARD BD INDEX FD INC TOTAL COM 921937835 7597 93384 SH DFND 01 0 0 93384 VANGUARD INTL EQUITY INDEX F A COM 922042775 6387 128141 SH DFND 01 0 0 128141 VANGUARD INTL EQUITY INDEX F F COM 922042858 11802 288336 SH DFND 01 0 0 288336 VENTAS INC COM COM 92276F100 1236 18818 SH DFND 01 0 0 18818 VANGUARD INDEX FDS MID CAP ETF COM 922908629 14858 105817 SH DFND 01 0 0 105817 VANGUARD INDEX FDS VALUE ETF COM 922908744 16505 173789 SH DFND 01 0 0 173789 VANGUARD INDEX FDS SMALL CP ET COM 922908751 5335 40063 SH DFND 01 0 0 40063 VERISIGN INC COM COM 92343E102 1589 17827 SH DFND 01 0 0 17827 WEC ENERGY GROUP INC COM COM 92939U106 540 8208 SH DFND 01 0 0 8208 WASTE MGMT INC DEL COM COM 94106L109 1282 17815 SH DFND 01 0 0 17815 WELLTOWER INC COM COM 95040Q104 1273 17723 SH DFND 01 0 0 17723 XCEL ENERGY INC COM COM 98389B100 686 15049 SH DFND 01 0 0 15049 SPDR Retail COM 78464A714 22590 500000 SH Call SOLE NONE 0 0 500000