SEC-registered firm
Registration does not mean the SEC approves or recommends the firm, and it does not imply a certain level of skill or training.
Harmony Asset Management LLC
Scottsdale, AZ
CRD 116069
Firm filing updated March 23, 2026 ·
- $462.5MAssets
- 275Clients
- 9Advisory staff
- 602Accounts
Fees and minimums
- Hourly feesAsk the firm for the rate
All fee types on the form
- Percentage of assets under managementYes
- Hourly chargesYes
- Fixed feesYes
- Subscription fees (for a newsletter or periodical)No
- CommissionsNo
- Performance-based feesNo
- OtherNo
Who the firm serves
- Individuals133
- High net worth individuals133
- Corporations or other businesses7
- Charities2
See the client table
| Client type | Approximate number of clients | Assets |
|---|---|---|
| Individuals (other than high net worth) | 133 | $53.9 million |
| High net worth individuals | 133 | $314.9 million |
| Charitable organizations | 2 | $77.6 million |
| Corporations or other businesses not listed above | 7 | $16.2 million |
What the client labels mean
Here, "individuals" includes trusts, estates, and IRAs of individuals. A "high net worth individual" is a qualified client or qualified purchaser.
Services
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
See all 5 services
- Selection of other advisors (including private fund managers)
- Educational seminars/workshops
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Selection of other advisors (including private fund managers)
- Educational seminars/workshops
Assets and accounts
- Regulatory assets$462.5 million
- Accounts602
- Discretionary$416.6 million · 523 accounts
- Non-discretionary$45.9 million · 79 accounts
People
- Employees10
- Advisory staff9
- Broker-dealer reps0
- Licensed insurance agents2
- Planning clients1 to 10
Advisors
3 advisors with a profile on Advisable
Listed A to Z by last name. Not a ranking.
Registration details
- SEC-registered investment advisor. CRD 116069, SEC file 801-118731.
- Registered with the SEC as an investment advisor (status date on record: May 15, 2020).
Is Harmony Asset Management LLC a fiduciary?
Short answer: Harmony Asset Management LLC is registered with the SEC as an investment advisor.
More detail
Some of its people may also act in other roles, such as for a broker-dealer or as insurance agents, where different rules apply. Details below.
The SEC put it this way in 2019: 'Under federal law, an investment adviser is a fiduciary.'
2 staff are licensed insurance agents.
The firm's Form CRS explains its services, fees and conflicts in plain language: Form CRS.
About this data
Informational only. Advisable Finance is not an investment advisor, does not give investment advice, and does not endorse any advisor.