SYMPHONIC FINANCIAL ADVISORS LLC
Adviser information for SYMPHONIC FINANCIAL ADVISORS LLC last updated from Form ADV on February 29th, 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 | Limited Liability Company |
|---|---|
| Fiscal Year End | OCTOBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 4 |
|---|---|
| Investment Advisory/Research | 4 |
| Registered Broker-Dealer Representatives | 4 |
| Registered State Investment Advisers | 4 |
| Licensed Agents of an Insurance Company | 3 |
| No. of Firms/People that Solicit Clients | 15 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 1,234 | $125.2M |
| Non-Discretionary | 0 | $0 |
| Total | 1,234 | $125.2M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 680 | $118.8M |
| HNW Individuals | 5 | $5.9M |
| 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 | <5 | $437,777 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| 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 businessesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
| Other Business Activities | Broker-dealerInsurance broker or agent |
Identifiers
| SEC RIA File Number | 801-64456 |
|---|---|
| SEC ERA File Number | 801-64456 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 135603 |
| Legal Entity Identifier | None |
Principal Office
400 PARK AVENUE10TH FLOOR
NEW YORK
NY
United States
Monday - Friday, 9:00 AM - 5:00 PM
Tel: 212-702-3500, Fax: 212-702-3535
Chief Compliance Officer
ROCHELLE LEVY
CHIEF COMPLIANCE OFFICER
400 PARK AVENUE
3RD FLOOR
NEW YORK
NY
United States
Tel:
212-702-3500
Fax:
212-702-3545
R************@******M
(Full email address available in API data)
Regulatory Contact
GREGG R. GIAQUINTO
MANAGING DIRECTOR, CLIENT SERVICES & OPERATIONS
400 PARK AVENUE
10TH FLOOR
NEW YORK
NY
United States
Tel:
212-702-3546
Fax:
212-702-3545
G**************@******M
(Full email address available in API data)
Industry Affiliates
| CITY NATIONAL BANK | Banking or thrift institution |
| CITY NATIONAL ROCHDALE | Other investment adviser, including financial planners |
| CITY NATIONAL SECURITIES, INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial planners |
| CNR SECURITIES, LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| RBC CAPITAL MARKETS, LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersRegistered municipal advisorFutures commission merchantInsurance company or agencyPension consultant |
| SYMPHONIC INSURANCE | Insurance company or agency |
| SYMPHONIC SECURITIES LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| CITY NATIONAL ROCHDALE HOLDINGS, LLC | Foreign Entity | – | MANAGING MEMBER | 04/2005 | < 5% |
| HAWKESWORTH, KURT, ALEXANDER | Individual | – | CHIEF OPERATING OFFICER AND BOARD MEMBER | 02/2008 | < 5% |
| CITY NATIONAL BANK | Domestic Entity | CNR HOLDINGS, LLC | MANAGING MEMBER OF CNR HOLDINGS, LLC | 07/2012 | > 75% |
| RBC USA HOLDCO CORPORATION | Domestic Entity | CITY NATIONAL BANK | OWNER | 11/2015 | > 75% |
| ROYAL BANK OF CANADA | Foreign Entity | RBC USA HOLDCO CORPORATION | ULTIMATE OWNER | 11/2015 | > 75% |
| NUNNELEE, MICHAEL, JOSEPH | Individual | – | BOARD MEMBER | 04/2019 | < 5% |
| Levy, Rochelle, Beth | Individual | – | CHIEF COMPLIANCE OFFICER | 11/2022 | < 5% |