Wealth manager, independent · Scottsdale, AZ
Harmony Asset Management LLC
SEC-registered investment adviser · CRD 116069 · SEC 801-118731
At a glance
Harmony Asset Management LLC is an SEC-registered investment adviser based in Scottsdale, Arizona, with $463 million in regulatory assets under management as of its Form ADV filed March 23, 2026. Its largest client group by assets is high-net-worth individuals, and it reports 266 individual clients. By Form ADV it is a wealth manager, ranked 3,082nd of 8,915 wealth managers and 8,149th of 17,210 SEC-registered advisers by assets.
Main office 480-314-5967harmonyam.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $463M
- Rank among wealth managers
- #3,082 of 8,915
- Rank among all SEC RIAs
- #8,149 of 17,210
- Rank in Arizona
- #62 of 212
- Individual clients
- 266
- High-net-worth clients
- 133
- Accounts
- 602
- Discretionary
- 90% of AUM
- Employees
- 10
- Advisory staff
- 9
- Offices
- 5
Owners and executives on its Form ADV
- Alan E. RosenfieldManaging Director and Chief Compliance Officer
Custody and brokerage
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 133 | $315M | 68% |
| Charitable organizations | 2 | $78M | 17% |
| Individuals | 133 | $54M | 12% |
| Corporations or other businesses | 7 | $16M | 3% |
Disciplinary disclosures
Harmony Asset Management LLC answers yes to 1 disclosure item in Item 11 of Form ADV (criminal, regulatory or civil matters involving the firm or its advisory affiliates). Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
- Portfolio management for businesses and institutions
- Selecting other advisers
- Educational seminars and workshops
How it’s paid
- A percentage of assets under management
- Hourly charges
- Fixed fees
Form ADV and brochures on the SEC’s adviser search ↗harmonyam.com ↗
AtlasMembers
The full record on Harmony Asset Management LLC
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, 5 years of filings
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- Growth over one, three and five years
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- Rank against 5,644 peers of its type and size
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- Owners and executives, with titles and stakes
- 1 namedLocked
- Main office, fax and compliance officer
- Locked
- Filing changes this year, with alerts
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does Harmony Asset Management LLC manage?
Harmony Asset Management LLC reports $463 million in regulatory assets under management across 602 accounts, 90% of it on a discretionary basis, on its Form ADV filed March 23, 2026.
What kind of firm is Harmony Asset Management LLC?
Harmony Asset Management LLC is a wealth manager by its Form ADV answers. At least half of its regulatory assets are managed for individuals and high-net-worth individuals.
Who are Harmony Asset Management LLC’s clients?
By assets, its largest client types are high-net-worth individuals ($315 million, 133 clients); charitable organizations ($78 million, 2 clients); individuals ($54 million, 133 clients).
Does Harmony Asset Management LLC have any disciplinary history?
Harmony Asset Management LLC answers yes to 1 disclosure item in Item 11 of Form ADV, which covers criminal, regulatory and civil matters involving the firm or its advisory affiliates. The details are on the SEC’s adviser search.
Where these numbers come from
Every figure is Harmony Asset Management LLC’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-03-23), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →