HARMONY ASSET MANAGEMENT LLC

B51
CRD 116069·SEC 801-118731·SCOTTSDALE, AZ
AUM
$462.5M
$100M-$500M
Est. Revenue
$4.6M
@ 1% on AUM
Est. EBITDA
$1.4M
@ 30% margin
Est. Deal Value
$11.1M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
HARMONY ASSET MANAGEMENT LLC
CRD
116069
SEC file #
801-118731
EIN
872236255
DBA names

Economics

AUM
$462.5M
AUM band
$100M-$500M
AUM trajectory
'21'26
$119.3M → $462.5M▲ +288%
Client mix
Individuals High Net Worth133
Individuals Other133
Corporations7
Charitable Organizations2

Operations

Employees (total)
10
Advisory staff (per ADV)
9
Advisory staff (5-yr trend)
'21'26
3 advisors → 9 advisors▲ +200%
Primary office
SCOTTSDALE AZ
Branches

Custodian & Brokerage

Primary custodian
E*Tradelow confidence
Services offered
Financial planningPortfolio mgmt — individualsPortfolio mgmt — businessesSelection of other advisers
Fee basis
% of AUMHourly chargesFixed fees

Filings

Compliance

Disclosures (firm)
1
Trademark
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
ROSENFIELD, ALAN, EDWARD
Top Owner Pct
87.5
Top Owner Entity Kind
I
Owner Count
1
Control Persons
ROSENFIELD, ALAN, EDWARD
Solo Advisor Indicator
No
Succession Risk Solo Owner
Yes
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
social_url_excluded:linkedin.com

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No

SEC EDGAR

Edgar Cik
0001881866
Edgar Registered
Yes
Edgar Filing Count
1
Edgar First Filing Date
2021-09-07
Edgar Last Filing Date
2021-09-07
Edgar Form D Count
1
Edgar Form D Offerings
2021-09-072021-09-07 · 0001881866-21-000001

Compliance & brand

Firm Registration Status
active

All other collected signals (12)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
0
Bc Firm Active IA Count
7
Bc Firm IAR Count
7
Custodian Candidates
Full
E*trade4
Fidelity2
Edgar Addresses
Mailing
C/O HARMONY ASSET MANAGEMENT LLC15169 N SCOTTSDALE ROAD, SUITE 205SCOTTSDALE, AZ 85254
Business
C/O HARMONY ASSET MANAGEMENT LLC15169 N SCOTTSDALE ROAD, SUITE 205SCOTTSDALE, AZ 85254
Edgar EIN
872236255
Edgar Recent Filings
D2021-09-07 · 0001881866-21-000001
Firm Has Custody
Yes
Mailing Office Differs
No
Top Owner CRD
1129174
Trust Company Affiliate
No