James Robert Horn

Employer firm

Rfg Advisory, LLC CRD 158401

$7.97B regulatory AUM 12 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (investment companies)
• Pension consulting
• Selection of other advisers
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 11/2015 → 11/2016
  Tmfs Advisors, Llc
  Syracuse, NY
• 11/2016 → 01/2025
  Edelman Financial Engines
  Amherst, NY
• 01/2025 → Present
  Rfg Advisory, Llc
  Rochester, NY

Previous Registrations

• 2016-11-16 → 2025-02-05
  Edelman Financial Engines
  Amherst, NY
  Amherst, NY
• 2015-11-16 → 2016-12-01
  Financial Engines Advisor Center, Llc
  Amherst, NY
  Overland Park, KS
• 2016-05-23 → 2016-07-19
  The Mutual Fund Store
  Amherst, NY
• 2015-08-17 → 2015-12-09
  Ameriprise Financial Services, Llc
  Rochester, NY
• 2013-04-19 → 2015-09-04
  Tiaa-Cref Individual & Institutional Services, Llc
  Rochester, NY
• 2012-12-10 → 2013-01-25
  M&T Securities, Inc.
  Rochester, NY
  Rochester, NY
  Rochester, NY
  Webster, NY
  Fairport, NY
  Marion, NY

Other Businesses

1) Matterhorn Private Wealth; YES; 70 Linden Oaks, 3rd Floor, Rochester, NY 14625; DBA; Owner/Founder/Advisor; Start: 1/10/2025; 160 hrs/mo; 160 during trading hrs; DBA name for advisory and insurance activity. 2) RFG Advisory, LLC; YES; 1400 Urban Center, Ste 475, Vestavia Hills, AL 35242; RIA; 160 hrs/mo; 160 during trading hrs.; RIA Affiliate; Investment Advisor Representative.

Exams

• S66 Uniform Combined State Law Examination
  2012-11-13
• S63 Uniform Securities Agent State Law Examination
  2009-02-19