Wealth manager, independent · Akron, OH
Symphony Financial Services, Inc.
SEC-registered investment adviser · CRD 125058 · SEC 801-63300
At a glance
Symphony Financial Services, Inc. is an SEC-registered investment adviser based in Akron, Ohio, with $429 million in regulatory assets under management as of its Form ADV filed February 25, 2026. Its largest client group by assets is high-net-worth individuals, and it reports 591 individual clients. By Form ADV it is a wealth manager, ranked 3,287th of 8,915 wealth managers and 8,479th of 17,210 SEC-registered advisers by assets.
Main office 330-434-2000symphony-financial.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $429M
- Rank among wealth managers
- #3,287 of 8,915
- Rank among all SEC RIAs
- #8,479 of 17,210
- Rank in Ohio
- #185 of 403
- Individual clients
- 591
- High-net-worth clients
- 71
- Accounts
- 1,312
- Discretionary
- 80% of AUM
- Employees
- 7
- Advisory staff
- 7
- Offices
- 2
Owners and executives on its Form ADV
- John Y KimPresident
- Craig M. SmallVice President and Chief Compliance Officer
Custody and brokerage
Broker-dealer
Hybrid RIA
Symphony Financial Services, Inc. is a hybrid RIA: 7 of its employees are also registered representatives of a broker-dealer.
Its Form ADV brochure (filed February 2026) names LPL Financial as the broker-dealer its advisers are registered with.
Commissionable Securities Sales Representatives of our firm are also associated with LPL as broker-dealer registered representatives (“Dually Registered Persons”).
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 71 | $172M | 40% |
| Individuals | 520 | $158M | 37% |
| Pension and profit sharing plans | 36 | $88M | 21% |
| Charitable organizations | 6 | $6M | 1% |
| Corporations or other businesses | 7 | $3M | <1% |
| Insurance companies | 1 | $2M | <1% |
Disciplinary disclosures
Symphony Financial Services, Inc. reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
- Pension consulting
- Selecting other advisers
How it’s paid
- A percentage of assets under management
- Hourly charges
- Fixed fees
Form ADV and brochures on the SEC’s adviser search ↗symphony-financial.com ↗
AtlasMembers
The full record on Symphony Financial Services, Inc.
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, ten years of filings
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- Growth over one, three and five years
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- Rank against 5,857 peers of its type and size
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- Owners and executives, with titles and stakes
- 2 namedLocked
- Main office, fax and compliance officer
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- 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 Symphony Financial Services, Inc. manage?
Symphony Financial Services, Inc. reports $429 million in regulatory assets under management across 1,312 accounts, 80% of it on a discretionary basis, on its Form ADV filed February 25, 2026.
What kind of firm is Symphony Financial Services, Inc.?
Symphony Financial Services, Inc. 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 Symphony Financial Services, Inc.’s clients?
By assets, its largest client types are high-net-worth individuals ($172 million, 71 clients); individuals ($158 million, 520 clients); pension and profit sharing plans ($88 million, 36 clients).
Does Symphony Financial Services, Inc. have any disciplinary history?
Symphony Financial Services, Inc. reports no disciplinary disclosures in Item 11 of its Form ADV. Check the SEC’s adviser search for the latest record.
Where these numbers come from
Every figure is Symphony Financial Services, Inc.’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 (2026-02-25), 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 →