Shawn Eric Rumsey
Investment Adviser Representative at Horizon Investments LLC
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Shawn Eric Rumsey is an investment adviser representative with Horizon Investments LLC in Charlotte, NC, where they have been registered since 2019. They have worked in the securities industry since 2015 and have been registered with 3 firms, including Brighthouse Securities, LLC and Metlife Investors Distribution Company. They have passed 5 industry qualification exams, including the Series 65 (investment adviser), Series 7 (general securities representative), and Series 63 (state securities agent). They are registered to provide investment advice in North Carolina.
Office
Advisors at this office: 25
Branch office as filed with FINRA, counting current advisors in the directory who work there.
Registrations & licenses
- Investment adviser:
- North Carolina
- Broker:
5 states and territories
California, Hawaii, Nevada, North Carolina, South Carolina
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- Metlife Securities IncJun 2015 – Mar 2017Charlotte, NC
- Brighthouse Securities, LLCMar 2017 – Mar 2019Charlotte, NC
- Horizon Investments LLCApr 2019 – no end date reportedCharlotte, NC
- Quasar Distributors LLCApr 2019 – no end date reportedMilwaukee, WI
Official records & sources
Data as of August 9, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About Horizon Investments LLC
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Fixed fee
- Firm account minimum
- $250,000 (waivable)
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Goals-Based Strategies (Gain, Protect, and Spend portfolios), Horizon Custom Portfolios (customizable separately managed accounts/SMAs), Horizon One Consulting (outsourced CIO/OCIO solution and practice management services), technology software for client investment guidance, and Horizon Funds (mutual funds and ETFs).
Client types the firm serves
Firm assets under management
$5B–$25B
- Firm disclosures (Form ADV)
- No disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 27
- Offices listed on AdvisorFinder:
- 1
- Main office:
- Charlotte, NC
- SEC file number:
- 801-57316
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of March 16, 2026
View full firm profileOther advisors at Horizon Investments LLC
Showing 12 of 27 in the directory
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Shawn Eric Rumsey has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
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