General Counsel

0001560717-20-000009.txt : 20201116 0001560717-20-000009.hdr.sgml : 20201116 20201116170019 ACCESSION NUMBER: 0001560717-20-000009 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20200930 FILED AS OF DATE: 20201116 DATE AS OF CHANGE: 20201116 EFFECTIVENESS DATE: 20201116 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: 201318096 BUSINESS ADDRESS: STREET 1: 6210 ARDREY KELL ROAD STREET 2: SUITE 300 CITY: CHARLOTTE STATE: NC ZIP: 28277 BUSINESS PHONE: 704-544-2399 MAIL ADDRESS: STREET 1: 6210 ARDREY KELL ROAD STREET 2: SUITE 300 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 09-30-2020 09-30-2020 Horizon Investments, LLC

6210 Ardrey Kell Road Suite 300 Charlotte NC 28277

13F COMBINATION REPORT 028-15165 028-06487 First Trust Advisors LP N Matt Chambers General Counsel 704-544-2399 Matt Chambers, General Counsel Charlotte NC 11-16-2020 1 399 2802983 false 1 FOUNDERS FINANCIAL SECURITIES LLC INFORMATION TABLE 2 HZIform13fInfoTable.xml ATT INC COM COM 00206R102 1505 53750 SH SOLE NONE 53656 0 94 ABBVIE INC COM COM 00287Y109 3970 45940 SH SOLE NONE 45288 0 652 ACTIVISION BLIZZARD INC COM COM 00507V109 554 6841 SH SOLE NONE 6841 0 0 ADOBE SYSTEMS INCORPORATED COM COM 00724F101 5731 11685 SH SOLE NONE 10381 0 1304 ADVANCE AUTO PARTS INC COM COM 00751Y106 290 1888 SH SOLE NONE 130 0 1758 AGILENT TECHNOLOGIES INC COM COM 00846U101 294 2922 SH SOLE NONE 2912 0 10 AKAMAI TECHNOLOGIES INC COM COM 00971T101 995 9004 SH SOLE NONE 5424 0 3580 ALEXION PHARMACEUTICALS INC CO COM 015351109 273 2390 SH SOLE NONE 0 0 2390 ALIBABA GROUP HLDG LTD SPONSOR COM 01609W102 530 1804 SH SOLE NONE 0 0 1804 ALLSTATE CORP COM COM 020002101 1815 19284 SH SOLE NONE 0 0 19284 ALPHABET 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770323103 393 7421 SH SOLE NONE 7421 0 0 ROCKWELL AUTOMATION INC COM COM 773903109 245 1112 SH SOLE NONE 1112 0 0 ROPER TECHNOLOGIES INC COM COM 776696106 990 2510 SH SOLE NONE 2510 0 0 ROSS STORES INC COM COM 778296103 231 2473 SH SOLE NONE 2473 0 0 ROYAL BK CDA COM COM 780087102 1645 23449 SH SOLE NONE 23449 0 0 SP GLOBAL INC COM COM 78409V104 2285 6338 SH SOLE NONE 6338 0 0 SBA COMMUNICATIONS CORP NEW CL COM 78410G104 417 1308 SH SOLE NONE 1308 0 0 SPDR SP 500 ETF TR TR UNIT COM 78462F103 14165 42296 SH SOLE NONE 34798 0 7498 SPDR INDEX SHS FDS PORTFOLIO E COM 78463X509 120277 3289853 SH SOLE NONE 2748969 0 540884 SPDR INDEX SHS FDS PORTFOLIO D COM 78463X889 236634 8087299 SH SOLE NONE 6650413 0 1436886 SPDR SER TR BLMBRG BRC CNVRT COM 78464A359 26438 384667 SH SOLE NONE 352461 0 32206 SPDR SER TR PORTFOLIO INTRMD COM 78464A375 20044 545270 SH SOLE NONE 545270 0 0 SPDR SER TR PRTFLO SP500 GW COM 78464A409 224110 4472355 SH SOLE NONE 3235785 0 1236570 SPDR SER TR PRTFLO SP500 VL COM 78464A508 107111 3546723 SH SOLE NONE 2216401 0 1330322 SPDR SER TR PORTFOLIO AGRGTE COM 78464A649 61364 1991698 SH SOLE NONE 1557780 0 433918 SPDR SER TR PORTFOLIO SP400 COM 78464A847 9780 299730 SH SOLE NONE 0 0 299730 SSGA ACTIVE ETF TR SPDR TR TAC COM 78467V848 5699 116050 SH SOLE NONE 0 0 116050 SPDR SP MIDCAP 400 ETF TR UTSE COM 78467Y107 2742 8094 SH SOLE NONE 0 0 8094 SPDR SER TR BLOOMBERG SRT TR COM 78468R408 971 37884 SH SOLE NONE 0 0 37884 SPDR SER TR SP KENSHO NEW COM 78468R648 30780 718142 SH SOLE NONE 718142 0 0 SVB FINANCIAL GROUP COM COM 78486Q101 506 2103 SH SOLE NONE 2103 0 0 SALESFORCE COM INC COM COM 79466L302 2156 8577 SH SOLE NONE 5959 0 2618 SCHWAB CHARLES CORP COM COM 808513105 320 8820 SH SOLE NONE 8820 0 0 SCHWAB STRATEGIC TR US LCAP VA COM 808524409 14001 268279 SH SOLE NONE 268179 0 100 SEMPRA ENERGY COM COM 816851109 421 3559 SH SOLE NONE 2365 0 1194 SERVICENOW INC COM COM 81762P102 2062 4251 SH SOLE NONE 4251 0 0 SHERWIN WILLIAMS CO COM COM 824348106 1652 2375 SH SOLE NONE 2375 0 0 SKYWORKS SOLUTIONS INC COM COM 83088M102 642 4413 SH SOLE NONE 4413 0 0 SMITH NEPHEW GROUP PLC SPDN A COM 83175M205 1745 44636 SH SOLE NONE 44636 0 0 SMITH A O CORP COM COM 831865209 445 8468 SH SOLE NONE 8468 0 0 SMUCKER J M CO COM NEW COM 832696405 1734 15127 SH SOLE NONE 15127 0 0 SNAP ON INC COM COM 833034101 1752 11910 SH SOLE NONE 11910 0 0 SOUTHERN CO COM COM 842587107 389 7248 SH SOLE NONE 7214 0 34 SPLUNK INC COM COM 848637104 330 1756 SH SOLE NONE 0 0 1756 STARBUCKS CORP COM COM 855244109 762 8909 SH SOLE NONE 8909 0 0 STATE STR CORP COM COM 857477103 201 3382 SH SOLE NONE 3382 0 0 STRYKER CORPORATION COM COM 863667101 535 2569 SH SOLE NONE 2569 0 0 SYNOPSYS INC COM COM 871607107 958 4477 SH SOLE NONE 4477 0 0 SYSCO CORP COM COM 871829107 218 3523 SH SOLE NONE 3523 0 0 TJX COS INC NEW COM COM 872540109 453 8134 SH SOLE NONE 8134 0 0 T-MOBILE US INC COM COM 872590104 3263 28537 SH SOLE NONE 28537 0 0 TAKE-TWO INTERACTIVE SOFTWAR C COM 874054109 551 3335 SH SOLE NONE 3335 0 0 TEXAS INSTRS INC COM COM 882508104 4073 28733 SH SOLE NONE 22731 0 6002 THERMO FISHER SCIENTIFIC INC C COM 883556102 2026 4589 SH SOLE NONE 3301 0 1288 3M CO COM COM 88579Y101 6189 38640 SH SOLE NONE 34776 0 3864 TORO CO COM COM 891092108 3039 36201 SH SOLE NONE 36201 0 0 TRACTOR SUPPLY CO COM COM 892356106 766 5344 SH SOLE NONE 5344 0 0 TRAVELERS COMPANIES INC COM COM 89417E109 487 4498 SH SOLE NONE 0 0 4498 TRUIST FINL CORP COM COM 89832Q109 1213 32175 SH SOLE NONE 32175 0 0 TYLER TECHNOLOGIES INC COM COM 902252105 533 1530 SH SOLE NONE 1522 0 8 US BANCORP DEL COM NEW COM 902973304 326 9096 SH SOLE NONE 0 0 9096 ULTA BEAUTY INC COM COM 90384S303 390 1741 SH SOLE NONE 455 0 1286 UNILEVER PLC SPON ADR NEW COM 904767704 4284 70042 SH SOLE NONE 41650 0 28392 UNION PAC CORP COM COM 907818108 2899 14727 SH SOLE NONE 11485 0 3242 UNITED PARCEL SERVICE INC CL B COM 911312106 2743 16559 SH SOLE NONE 7913 0 8646 UNITED RENTALS INC COM COM 911363109 616 3528 SH SOLE NONE 3528 0 0 UNITEDHEALTH GROUP INC COM COM 91324P102 8725 27984 SH SOLE NONE 23192 0 4792 V F CORP COM COM 918204108 200 2841 SH SOLE NONE 2841 0 0 VANECK VECTORS ETF TR FALLEN A COM 92189F437 12107 410701 SH SOLE NONE 410701 0 0 VANGUARD SPECIALIZED FUNDS DIV COM 921908844 7703 59872 SH SOLE NONE 0 0 59872 VANGUARD BD INDEX FDS TOTAL BN COM 921937835 14549 165476 SH SOLE NONE 0 0 165476 VANGUARD TAX-MANAGED INTL FD F COM 921943858 15578 380890 SH SOLE NONE 0 0 380890 VANGUARD CHARLOTTE FDS INTL BD COM 92203J407 25058 431365 SH SOLE NONE 398289 0 33076 VERIZON COMMUNICATIONS INC COM COM 92343V104 9515 161652 SH SOLE NONE 150454 0 11198 VERISK ANALYTICS INC COM COM 92345Y106 211 1141 SH SOLE NONE 1141 0 0 VERTEX PHARMACEUTICALS INC COM COM 92532F100 1970 7238 SH SOLE NONE 6574 0 664 VISA INC COM CL A COM 92826C839 4134 20705 SH SOLE NONE 13391 0 7314 VMWARE INC CL A COM COM 928563402 269 1872 SH SOLE NONE 0 0 1872 VULCAN MATLS CO COM COM 929160109 681 5034 SH SOLE NONE 990 0 4044 WEC ENERGY GROUP INC COM COM 92939U106 1085 11202 SH SOLE NONE 7626 0 3576 WALMART INC COM COM 931142103 15668 111986 SH SOLE NONE 100566 0 11420 WASTE MGMT INC DEL COM COM 94106L109 2801 24748 SH SOLE NONE 18874 0 5874 WELLS FARGO CO NEW COM COM 949746101 2988 127700 SH SOLE NONE 87222 0 40478 WELLTOWER INC COM COM 95040Q104 230 4221 SH SOLE NONE 4221 0 0 WEST PHARMACEUTICAL SVSC INC C COM 955306105 577 2099 SH SOLE NONE 2099 0 0 WILLIAMS COS INC COM COM 969457100 862 43873 SH SOLE NONE 10869 0 33004 WISDOMTREE TR YIELD ENHANCD US COM 97717X511 71285 1326975 SH SOLE NONE 1125579 0 201396 XCEL ENERGY INC COM COM 98389B100 342 4954 SH SOLE NONE 4954 0 0 YUM BRANDS INC COM COM 988498101 660 7229 SH SOLE NONE 7229 0 0 ZEBRA TECHNOLOGIES CORPORATI C COM 989207105 537 2128 SH SOLE NONE 2128 0 0 ZIMMER BIOMET HOLDINGS INC COM COM 98956P102 201 1480 SH SOLE NONE 1480 0 0 ZIONS BANCORPORATION N A COM COM 989701107 340 11728 SH SOLE NONE 11728 0 0 ZOETIS INC CL A COM 98978V103 1694 10259 SH SOLE NONE 3225 0 7034 AMCOR PLC ORD COM G0250X107 182 16492 SH SOLE NONE 16492 0 0 AON PLC SHS CL A COM G0403H108 333 1615 SH SOLE NONE 1615 0 0 ACCENTURE PLC IRELAND SHS CLAS COM G1151C101 5459 24250 SH SOLE NONE 24250 0 0 BUNGE LIMITED COM COM G16962105 3171 69398 SH SOLE NONE 69398 0 0 EATON CORP PLC SHS COM G29183103 333 3284 SH SOLE NONE 3284 0 0 EVEREST RE GROUP LTD COM COM G3223R108 370 1875 SH SOLE NONE 1875 0 0 IHS MARKIT LTD SHS COM G47567105 574 7328 SH SOLE NONE 2818 0 4510 JOHNSON CTLS INTL PLC SHS COM G51502105 319 7798 SH SOLE NONE 5424 0 2374 LINDE PLC SHS COM G5494J103 3375 14173 SH SOLE NONE 10599 0 3574 MEDTRONIC PLC SHS COM G5960L103 3064 29481 SH SOLE NONE 9957 0 19524 APTIV PLC SHS COM G6095L109 881 9613 SH SOLE NONE 7485 0 2128 SEAGATE TECHNOLOGY PLC SHS COM G7945M107 770 15630 SH SOLE NONE 13382 0 2248 TRANE TECHNOLOGIES PLC SHS COM G8994E103 205 1692 SH SOLE NONE 1692 0 0 PERRIGO CO PLC SHS COM G97822103 1048 22835 SH SOLE NONE 22835 0 0 CHUBB LIMITED COM COM H1467J104 366 3155 SH SOLE NONE 3155 0 0 GARMIN LTD SHS COM H2906T109 709 7478 SH SOLE NONE 7478 0 0 TE CONNECTIVITY LTD REG SHS COM H84989104 351 3595 SH SOLE NONE 2455 0 1140 ISHARES TR CORE SP SCP ETF COM 464287804 8218 117018 SH DFND 01 0 0 117018 ISHARES TR CORE US AGGBD ET COM 464287226 5355 45510 SH DFND 01 0 0 45510 VANGUARD SPECIALIZED FUNDS DIV COM 921908844 8143 63292 SH DFND 01 0 0 63292 VANGUARD BD INDEX FDS TOTAL BN COM 921937835 5367 61046 SH DFND 01 0 0 61046 SPDR SER TR PRTFLO SP500 GW COM 78464A409 17704 353298 SH DFND 01 0 0 353298 SPDR SER TR PRTFLO SP500 VL COM 78464A508 13681 453022 SH DFND 01 0 0 453022 VANGUARD TAX-MANAGED INTL FD F COM 921943858 14382 351640 SH DFND 01 0 0 351640 SPDR SER TR PORTFOLIO SP400 COM 78464A847 9272 284160 SH DFND 01 0 0 284160 ISHARES TR JPMORGAN USD EMG COM 464288281 1865 16932 SH DFND 01 0 0 16932 PIMCO ETF TR ACTIVE BD ETF COM 72201R775 1936 17292 SH DFND 01 0 0 17292 ISHARES INC CORE MSCI EMKT COM 46434G103 9832 186216 SH DFND 01 0 0 186216 SSGA ACTIVE ETF TR SPDR TR TAC COM 78467V848 1735 35326 SH DFND 01 0 0 35326 FIRST TR EXCHNG TRADED FD VI T COM 33740F805 3752 68334 SH DFND 01 0 0 68334 FIRST TR NASDAQ 100 TECH IND S COM 337345102 892 7610 SH DFND 01 0 0 7610 FIRST TR EXCHANGE-TRADED FD DJ COM 33733E302 879 4666 SH DFND 01 0 0 4666 FIRST TR EXCHANGE TRADED FD TE COM 33734X176 902 9926 SH DFND 01 0 0 9926 FIRST TR EXCHANGE TRADED FD CO COM 33734X101 906 21290 SH DFND 01 0 0 21290 SPDR SER TR PORTFOLIO LN COR COM 78464A367 532 16740 SH DFND 01 0 0 16740 SPDR SER TR BLOMBRG BRC INTL COM 78464A151 568 15970 SH DFND 01 0 0 15970 SPDR SER TR BLMBRG BRC CNVRT COM 78464A359 578 8416 SH DFND 01 0 0 8416 SPDR SER TR WELLS FG PFD ETF COM 78464A292 542 12574 SH DFND 01 0 0 12574 FIRST TR EXCHANGE-TRADED FD NA COM 33738R795 851 36460 SH DFND 01 0 0 36460 WESBANCO INC COM COM 950810101 304 14246 SH DFND 01 0 0 14246