Horn Eichenwald Investments Corp. (Miami)

Name: Horn Eichenwald Investments Corp.
Address: 2601 S. Bayshore Dr. Suite 1200, Miami, FL, 33133
Telephone: 305-860-0770

Horn Eichenwald Investments Corp. is a large advisory firm based in Miami. It manages $164.86 million of regulatory assets for 14 client accounts. It has been registered with the SEC as an adviser since 2006 and has operated in the jurisdiction of Florida.

Horn Eichenwald Investments Corp provides financial planning services, portfolio management for individuals and small businesses, portfolio management for pooled investment vehicles, portfolio management for businesses and institutional clients, and selection of other advisers. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Horn Eichenwald Investments Corp: assets under management

The assets under management (AUM) of Horn Eichenwald Investments Corp. is $164.86 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 243% since the beginning of its operation, and $95 of the total AUM is attributable to clients outside of the United States.

The firm manages $164.86 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $11.78 million each.

Investments

The firm invests in pooled investment vehicles the most. They account for 25% of the total AUM. The second-largest asset type is exchange traded securities, which make up 22% of the firm’s portfolio. Investments in non-investment grade corporate bonds form 15% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Horn Eichenwald Investments Corp. for their services and products based on a percentage of assets under management and performance-based fees. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Ralph Horn serves?

The firm provides services to pooled investment vehicles and corporations or other businesses. The largest group of clients of Ralph Horn is corporations or other businesses with 11 clients and $137.97 million of assets under management. Among the 7 most similar advisory firms, Horn Eichenwald Investments Corp has the highest percentage of corporations or other businesses out of all clients.

The amount of regulatory assets under management is $162.28 million for 12 clients. 95% of the firm’s clients are foreign persons or businesses.

Horn Eichenwald Investments Corp also advises several private funds. Namely, one hedge fund. The minimum investment commitment required of non-related persons is $100,000 for each fund.

Careers at Horn Eichenwald Investments Corp.

The company employs 5 people that are either part- or full-time employees. 40 percent of the employees work as investment advisers or researchers. 2 employees are registered as investment adviser representatives with the state securities authorities.

There’s a single person with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Ralph Horn has been acting as President since 1 Jun 1997. Ricardo Eichenwald joined the executive team most recently as the Chief Compliance Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Ralph Horn	President	1 Jun 1997	25% - 50%	5136688
Joseph Horn	Vice president	1 Jun 1997	25% - 50%	5136700
Ricardo Eichenwald	President/chief compliance officer	1 Jun 1997	25% - 50%	5136706
Daniel Ades	Director	1 Jan 2006	Other	5136712
Fernando Braghin	Chief compliance officer	1 Jul 2010	Other	5824394
The Joseph Horn Revocable Trust	Shareholder	1 Jun 2013	25% - 50%	xxx-xx-xxxx
The Ricardo Eichenwald Revocable Trust	Shareholder	1 Jun 2013	Other	59-0084581
Ricardo Eichenwald	Chief compliance officer	1 May 2017	25% - 50%	5136706

Based in Miami

The principal office where Horn Eichenwald Investments Corp. performs its advisory services is located at 2601 S. Bayshore Dr. Suite 1200, Miami, FL 33133, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 305-860-0770 or by fax 305-860-6990. The normal business hours are 9am - 5pm on Monday - Friday. You can find more information about the New York firm at h2e.com/.