HORIZON TECHNOLOGY FINANCE
HORIZON TECHNOLOGY FINANCE MANAGEMENT LLC Legal Name
Adviser information for HORIZON TECHNOLOGY FINANCE last updated from Form ADV on March 29th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 33 |
|---|---|
| Investment Advisory/Research | 21 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 1 | $802.4M |
| Non-Discretionary | 0 | $0 |
| Total | 1 | $802.4M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 1 | $802.4M |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for investment companies |
|---|---|
| Compensation | % of AUMPerformance-based fees |
Principal Office
312 FARMINGTON AVENUEFARMINGTON
CT
United States
Monday - Friday, 8:30 - 5:30
Tel: 860-676-8654, Fax: 860-676-8655
Chief Compliance Officer
JOHN C. BOMBARA
EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL, CHIEF COMPLIANCE OFFICER AND SECRETARY
312 FARMINGTON AVENUE
FARMINGTON
CT
United States
Tel:
860-676-8657
Fax:
860-676-8655
J*******@*********************M
(Full email address available in API data)
Regulatory Contact
DANIEL R. TROLIO
EXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER AND TREASURER
312 FARMINGTON AVENUE
FARMINGTON
CT
United States
Tel:
860-674-9977
Fax:
860-676-8655
D******@*********************M
(Full email address available in API data)
Industry Affiliates
| MONROE (NP) U.S. PRIVATE DEBT FUND GP LTD. | Sponsor, GP, manager of pooled investment vehicles |
| MONROE CAPITAL BDC ADVISORS, LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| MONROE CAPITAL CLO MANAGER II LLC | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| MONROE CAPITAL CLO MANAGER LLC | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| MONROE CAPITAL FUND GP S.� R.L. | Sponsor, GP, manager of pooled investment vehicles |
| MONROE CAPITAL MANAGEMENT ADVISORS LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| MONROE CAPITAL MANAGEMENT, LLC | Other investment adviser, including financial planners |
| MONROE CAPITAL OPPORTUNISTIC PRIVATE CREDIT FUND LLC | Sponsor, GP, manager of pooled investment vehicles |
| MONROE CAPITAL OPPORTUNISTIC PRIVATE CREDIT GP S.� R.L. | Sponsor, GP, manager of pooled investment vehicles |
| MONROE CAPITAL PARTNERS FUND ADVISERS, INC | Other investment adviser, including financial planners |
| MONROE CAPITAL PARTNERS FUND II ADVISERS, INC | Other investment adviser, including financial planners |
| MONROE CAPITAL PARTNERS FUND II, LLC | Sponsor, GP, manager of pooled investment vehicles |
| MONROE CAPITAL PARTNERS FUND, LLC | Sponsor, GP, manager of pooled investment vehicles |
| MONROE CAPITAL PRIVATE CREDIT FUND 599 GP LLC | Sponsor, GP, manager of pooled investment vehicles |
| MONROE CAPITAL PRIVATE CREDIT FUND I, LLC | Sponsor, GP, manager of pooled investment vehicles |
| MONROE CAPITAL PRIVATE CREDIT FUND II, LLC | Sponsor, GP, manager of pooled investment vehicles |
| MONROE CAPITAL PRIVATE CREDIT FUND III LLC | Sponsor, GP, manager of pooled investment vehicles |
| MONROE CAPITAL PRIVATE CREDIT FUND IV GP LLC | Sponsor, GP, manager of pooled investment vehicles |
| MONROE CAPITAL PRIVATE CREDIT FUND KTRS GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| MONROE CAPITAL PRIVATE CREDIT FUND L LLC | Sponsor, GP, manager of pooled investment vehicles |
| MONROE CAPITAL PRIVATE CREDIT FUND V GP LLC | Sponsor, GP, manager of pooled investment vehicles |
| MONROE CAPITAL PRIVATE CREDIT FUND VT LLC | Sponsor, GP, manager of pooled investment vehicles |
| MONROE CAPITAL PRIVATE CREDIT STARR FUND GP LLC | Sponsor, GP, manager of pooled investment vehicles |
| MONROE CAPITAL PRIVATE CREDIT VERSAILLES GP S.� R.L. | Sponsor, GP, manager of pooled investment vehicles |
| MONROE CAPITAL PRIVATE FUND IV GP S.� R.L. | Sponsor, GP, manager of pooled investment vehicles |
| MONROE CAPITAL PRIVATE FUND V GP S.�.R.L. | Sponsor, GP, manager of pooled investment vehicles |
| MONROE PRIVATE CREDIT FUND A, LLC | Sponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| POMEROY, ROBERT, DWIGHT | Individual | – | CHIEF EXECUTIVE OFFICER | 03/2008 | < 5% |
| MICHAUD, GERALD, ALFRED | Individual | – | PRESIDENT | 03/2008 | < 5% |
| BOMBARA, JOHN, CARSON | Individual | – | EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL, CHIEF COMPLIANCE OFFICER AND SECRETARY | 03/2008 | < 5% |
| TROLIO, DANIEL, RAFFAELE | Individual | – | EXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER AND TREASURER | 01/2017 | < 5% |
| DEVORSETZ, DANIEL, SCOTT | Individual | – | EXECUTIVE VICE PRESIDENT, CHIEF OPERATING OFFICER AND CHIEF INVESTMENT OFFICER | 06/2021 | < 5% |
| EARLE, DIANE, CLARE | Individual | – | SENIOR VICE PRESIDENT AND CHIEF CREDIT OFFICER | 01/2020 | < 5% |
| DOMBROWSKI, LYNN, DENISE MURRAY | Individual | – | CHIEF ACCOUNTING OFFICER | 02/2023 | < 5% |
| MCH HOLDCO LLC | Domestic Entity | – | SOLE MEMBER | 06/2023 | > 75% |
| MONROE CAPITAL INVESTMENT HOLDINGS, L.P. | Domestic Entity | MCH HOLDCO LLC | SOLE MANAGING MEMBER | 02/2021 | > 75% |
| MONROE MANAGEMENT HOLDCO, LLC | Domestic Entity | MONROE CAPITAL INVESTMENT HOLDINGS, L.P. | GENERAL PARTNER | 02/2021 | > 75% |
| MSDJ TRUST | Domestic Entity | MONROE MANAGEMENT HOLDCO, LLC | MEMBER | 02/2007 | 25-50% |
| KOENIG, THEODORE, LEON | Individual | MSDJ TRUST | TRUSTEE | 02/2007 | |
| KOENIG, THEODORE, LEON | Individual | MONROE MANAGEMENT HOLDCO, LLC | SOLE MANAGING MEMBER | 02/2007 |