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Managing Director and Chief Compliance Officer · Harmony Asset Management LLC

Alan E. Rosenfield

CRD 1129174 · Named on Form ADV at one SEC-registered adviser

At a glance

Harmony Asset Management LLC, an SEC-registered wealth manager based in Scottsdale, AZ with $463 million in regulatory assets, lists Alan E. Rosenfield on its Form ADV as Managing Director and Chief Compliance Officer, a control person.

Firms and roles

AtlasMembers

Alan’s stakes and control

What Form ADV says they own at each firm, whether they control it, and how each firm is growing. Atlas members see all of it.

Ownership stake at the firm
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Control-person status
1 firmLocked
When each role began
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Each firm’s assets and growth
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.

Something wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For Alan’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.