SYMPHONY FINANCIAL SERVICES, INC.
Adviser information for SYMPHONY FINANCIAL SERVICES, INC. last updated from Form ADV on February 14th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Ohio, United States |
Employees
| Total Number of Employees | 11 |
|---|---|
| Investment Advisory/Research | 9 |
| Registered Broker-Dealer Representatives | 11 |
| Registered State Investment Advisers | 9 |
| Licensed Agents of an Insurance Company | 11 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 1,249 | $284.3M |
| Non-Discretionary | 20 | $60.0M |
| Total | 1,269 | $344.3M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 499 | $106.0M |
| HNW Individuals | 79 | $154.7M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 39 | $72.6M |
| Charitable organizations | <5 | $4.4M |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | <5 | $2.9M |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 7 | $3.7M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 1 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 1-10 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPension consulting servicesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
| Other Business Activities | Broker-dealerInsurance broker or agentLawyer or law firm |
Identifiers
| SEC RIA File Number | 801-63300 |
|---|---|
| SEC ERA File Number | 801-63300 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 125058 |
| Legal Entity Identifier | None |
Principal Office
4100 EMBASSY PARKWAYSUITE 100
AKRON
OH
United States
Monday - Friday, 8:30A.M. TO 5:30P.M.
Tel: 330-434-2000, Fax: 330-665-1515
Websites
www.linkedin.com/in/james-jones-crpc%c2%ae-8188547
www.symphony-financial.com
www.linkedin.com/in/steven-smetana-crpc%c2%ae-08a4a328
www.linkedin.com/in/mark-millar-a4ab2714
www.linkedin.com/in/robertjschaefer
www.linkedin.com/in/john-kim-50748964
ne-np.facebook.com/symphonyfinancialservicesinc/
www.linkedin.com/in/craigmsmall/
Chief Compliance Officer
CRAIG M. SMALL
VICE PRESIDENT
4100 EMBASSY PARKWAY
SUITE 100
AKRON
OH
United States
Tel:
(330) 434-2000
Fax:
(330) 665-1515
C*****@*********************M
(Full email address available in API data)
Regulatory Contact
JOHN KIM
PRESIDENT
4100 EMBASSY PARKWAY
SUITE 100
AKRON
OH
United States
Tel:
330-434-2000
Fax:
330-665-1515
J***@*********************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| KIM, JOHN, Y | Individual | – | PRESIDENT | 06/2001 | > 75% |
| SMALL, CRAIG, MICHAEL | Individual | – | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 06/2008 | < 5% |