HOROWITZ & COMPANY, INC. of FORT LAUDERDALE, FL is an SEC-registered investment adviser (CRD 106737). Regulatory assets under management: $180.7M. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Hourly, Fixed.
Clients served: Individuals, High net worth, Pooled vehicles, Pensions, Charities.
| Name | Role | Location |
|---|---|---|
| Kevin Hoffmann | CHIEF INVESTMENT OFFICER | Ponte Vedra, FL |
| Andrew Alan Horowitz | CHIEF COMPLIANCE OFFICER; PRESIDENT | — |
| HOROWITZ ANDREW ALAN | CHIEF COMPLIANCE OFFICER; PRESIDENT | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2018-12-13 | regulatory | FLORIDA OFFICE OF FINANCIAL REGULATION ALLEGED VARIOUS VIOLATIONS OF SECTION 517.12, FLORIDA STATUTES AND RULE 69W-600, FLORIDA ADMINISTRATIVE CODE RELATED TO: FAILED TO AMEND FORM ADV; FAILED TO ENTER INTO WRITTEN INVESTMENT ADVISORY AGREEMENTS WITH ONE OR MORE CLIENTS; FAILED TO PREPARE AND MAINTA… | Final | $9K |