Asset manager · Farmington, CT
Horizon Technology Finance
Horizon Technology Finance Management LLC · SEC-registered investment adviser · CRD 153052 · SEC 801-71141
At a glance
Horizon Technology Finance is an SEC-registered investment adviser based in Farmington, Connecticut, with $811 million in regulatory assets under management as of its Form ADV filed June 12, 2026. Its largest client group by assets is business development companies. By Form ADV it is a asset manager, ranked 1,458th of 3,218 asset managers and 6,041st of 17,210 SEC-registered advisers by assets.
Main office 860-676-8654horizontechfinance.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $811M
- Rank among asset managers
- #1,458 of 3,218
- Rank among all SEC RIAs
- #6,041 of 17,210
- Rank in Connecticut
- #246 of 507
- Clients
- 1
- Accounts
- 1
- Discretionary
- 100% of AUM
- Employees
- 23
- Advisory staff
- 14
- Offices
- 2
Owners and executives on its Form ADV
- John C. BombaraExecutive Vice President, General Counsel, Chief Compliance Officer and Secretary
- Daniel R. TrolioExecutive Vice President and Chief Financial Officer
- Lynn D. DombrowskiChief Accounting Officer
- Michael P. BalkinChief Executive Officer
- Paul G. SeitzChief Investment Officer
Custody and brokerage
Custodian
Horizon Technology Finance’s Form ADV lists no custodian for separately managed accounts. Firms report one only when they manage $10 million or more in those accounts.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Business development companies | 1 | $811M | 100% |
Disciplinary disclosures
Horizon Technology Finance answers yes to 2 disclosure items in Item 11 of Form ADV (criminal, regulatory or civil matters involving the firm or its advisory affiliates). Read the details on the SEC’s adviser search ↗
Services
- Portfolio management for investment companies
How it’s paid
- A percentage of assets under management
- Performance-based fees
Form ADV and brochures on the SEC’s adviser search ↗horizontechfinance.com ↗
AtlasMembers
The full record on Horizon Technology Finance
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, ten years of filings
- Locked
- Growth over one, three and five years
- Locked
- Rank against 1,016 peers of its type and size
- Locked
- Owners and executives, with titles and stakes
- 5 namedLocked
- Main office, fax and compliance officer
- Locked
- Filing changes this year, with alerts
- 2Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does Horizon Technology Finance manage?
Horizon Technology Finance reports $811 million in regulatory assets under management across 1 accounts, 100% of it on a discretionary basis, on its Form ADV filed June 12, 2026.
What kind of firm is Horizon Technology Finance?
Horizon Technology Finance is a asset manager by its Form ADV answers. Most of its assets are managed for funds, institutions or other businesses rather than individuals.
Who are Horizon Technology Finance’s clients?
By assets, its largest client types are business development companies ($811 million, 1 clients).
Does Horizon Technology Finance have any disciplinary history?
Horizon Technology Finance answers yes to 2 disclosure items in Item 11 of Form ADV, which covers criminal, regulatory and civil matters involving the firm or its advisory affiliates. The details are on the SEC’s adviser search.
Where these numbers come from
Every figure is Horizon Technology Finance’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-06-12), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →