{
  "crd_number": 116069,
  "slug": "harmony-asset-management-llc-scottsdale-az-116069",
  "primary_business_name": "HARMONY ASSET MANAGEMENT LLC",
  "legal_name": "HARMONY ASSET MANAGEMENT LLC",
  "dbas": [
    "HARMONY NONPROFIT",
    "HARMONY WEALTH ACADEMY"
  ],
  "city": "Scottsdale",
  "state": "AZ",
  "country": "United States",
  "cbsa_code": "38060",
  "metro": {
    "cbsa_code": "38060",
    "common_name": "Phoenix",
    "msa_name": "Phoenix-Mesa-Chandler, AZ",
    "path": "/advisors/az/phoenix"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "2020-05-15",
  "years_registered": 6,
  "period": "2026-10-01",
  "filing_date": "2026-03-23",
  "carried_forward": false,
  "raum_total": 462513551.0,
  "raum_discretionary": 416603530.0,
  "raum_non_discretionary": 45910021.0,
  "raum_band": "100m_500m",
  "raum_band_label": "$100 million to $500 million",
  "total_employees": 10,
  "advisory_employees": 9,
  "client_count_bucket": null,
  "clients_by_type": {
    "other": {
      "raum": 0.0,
      "count": 0
    },
    "charitable": {
      "raum": 77567992.0,
      "count": 2
    },
    "individuals": {
      "raum": 53885171.0,
      "count": 133
    },
    "banking_thrift": {
      "raum": 0.0,
      "count": 0
    },
    "state_municipal": {
      "raum": 0.0,
      "count": null
    },
    "insurance_companies": {
      "raum": 0.0,
      "count": 0
    },
    "investment_companies": {
      "raum": 0.0,
      "count": 0
    },
    "pension_profit_sharing": {
      "raum": 0.0,
      "count": 0
    },
    "other_investment_advisers": {
      "raum": 0.0,
      "count": 0
    },
    "high_net_worth_individuals": {
      "raum": 314888019.0,
      "count": 133
    },
    "pooled_investment_vehicles": {
      "raum": 0.0,
      "count": 0
    },
    "corporations_other_businesses": {
      "raum": 16172369.0,
      "count": 7
    },
    "business_development_companies": {
      "raum": 0.0,
      "count": 0
    },
    "sovereign_wealth_foreign_official": {
      "raum": 0.0,
      "count": 0
    }
  },
  "compensation_types": [
    "fixed",
    "hourly",
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "educational_seminars",
    "financial_planning",
    "portfolio_management_businesses_institutional",
    "portfolio_management_individuals",
    "selection_of_other_advisers"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 1,
  "states_registered": [
    "AL",
    "AZ",
    "CA",
    "FL",
    "NY",
    "SC",
    "TX"
  ],
  "websites": [
    "https://harmonyam.com",
    "https://harmonynonprofit.com",
    "https://harmonywealthacademy.com",
    "https://linkedin.com/in/alan-rosenfield-8bb8854?trk=pulse-article_main-author-card",
    "https://youtube.com/channel/UCYIdKrkmxocgiGOga5UE7DQ"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/116069",
  "disclosure_items": [
    {
      "item": "11.E(4)",
      "question": "Has a self-regulatory organization or a commodities exchange ever disciplined the firm or an advisory affiliate by expelling or suspending it from membership, barring or suspending it from association with other members, or otherwise restricting its activities?"
    }
  ],
  "city_as_filed": "SCOTTSDALE",
  "url": "https://advisorcensus.com/firm/harmony-asset-management-llc-scottsdale-az-116069",
  "display_name": "Harmony Asset Management LLC",
  "summary": "Harmony Asset Management LLC is an SEC-registered investment advisory firm in Scottsdale, AZ, registered since 2020, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated March 23, 2026.",
  "citation": "AdvisorCensus. Harmony Asset Management LLC (CRD 116069): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management",
    "Hourly charges",
    "Fixed fees (other than subscription fees)"
  ],
  "advisory_activity_labels": [
    "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 advisers (including private fund managers)",
    "Educational seminars/workshops"
  ],
  "quick_answers": [
    {
      "q": "How is Harmony Asset Management LLC compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Harmony Asset Management LLC reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees). The amounts are in Item 5 of its Form ADV Part 2A brochure."
    },
    {
      "q": "Where is Harmony Asset Management LLC located?",
      "a": "Harmony Asset Management LLC's principal office is in Scottsdale, AZ, according to its Form ADV; the April 2026 filing also lists 2 other offices (Schedule D, Section 1.F)."
    },
    {
      "q": "Is Harmony Asset Management LLC registered with the SEC or a state?",
      "a": "Harmony Asset Management LLC is an SEC-registered investment advisory firm, registered since 2020. Status as filed: Approved. CRD 116069."
    },
    {
      "q": "How much does Harmony Asset Management LLC manage?",
      "a": "Harmony Asset Management LLC reports $462,513,551 in regulatory assets under management in its Form ADV filing dated March 23, 2026 (90% discretionary)."
    },
    {
      "q": "How have Harmony Asset Management LLC's assets and staff changed since 2021?",
      "a": "In the Form ADV data for Harmony Asset Management LLC: Regulatory assets under management: $108,876,665 in the October 2021 data and $462,513,551 in the October 2026 data, up 325%. Total employees: 7 in October 2021 and 10 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does Harmony Asset Management LLC serve?",
      "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (133); high net worth individuals (133); corporations or other businesses not listed above (7)."
    },
    {
      "q": "Which custodians does Harmony Asset Management LLC use?",
      "a": "Harmony Asset Management LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Fidelity Distributors Company LLC as a custodian holding 10% or more of its separately managed account assets."
    },
    {
      "q": "Does Harmony Asset Management LLC report any disciplinary disclosures?",
      "a": "Reports 1 disclosure item on Form ADV Item 11: yes answers to 11.E(4) (self-regulatory organization's expulsion, suspension, bar, or restriction). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/116069"
    },
    {
      "q": "What changed in Harmony Asset Management LLC's recent Form ADV filings?",
      "a": "In the April 2026 filing data: Added the business name Harmony Wealth Academy. Employees performing advisory functions went from 8 to 9. Regulatory assets under management went from $393,589,232 to $462,513,551 (+18%)."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 108876665.0,
      "total_employees": 7,
      "filing_date": "2021-07-14"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 116697087.0,
      "total_employees": 8,
      "filing_date": "2022-03-01"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 313866421.0,
      "total_employees": 9,
      "filing_date": "2023-09-18"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 356174080.0,
      "total_employees": 9,
      "filing_date": "2024-03-12"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 393589232.0,
      "total_employees": 9,
      "filing_date": "2025-04-17"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 462513551.0,
      "total_employees": 10,
      "filing_date": "2026-03-23"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-04-01",
      "period_label": "April 2026",
      "notes": [
        "Added the business name Harmony Wealth Academy.",
        "Employees performing advisory functions went from 8 to 9.",
        "Regulatory assets under management went from $393,589,232 to $462,513,551 (+18%)."
      ]
    }
  ],
  "fees_from_brochure": null,
  "custodians": [
    {
      "name": "Fidelity Distributors Company LLC",
      "name_as_filed": "FIDELITY DISTRIBUTORS COMPANY LLC",
      "affiliated": false
    }
  ],
  "custodians_note": "Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.",
  "markdown_url": "https://advisorcensus.com/firm/harmony-asset-management-llc-scottsdale-az-116069.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 133,
      "fewer_than_5": false,
      "raum": 53885171.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 133,
      "fewer_than_5": false,
      "raum": 314888019.0
    },
    {
      "type": "banking_thrift",
      "label": "Banking or thrift institutions",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "investment_companies",
      "label": "Investment companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "business_development_companies",
      "label": "Business development companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "pooled_investment_vehicles",
      "label": "Pooled investment vehicles (other than investment companies and business development companies)",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "pension_profit_sharing",
      "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "charitable",
      "label": "Charitable organizations",
      "count": 2,
      "fewer_than_5": false,
      "raum": 77567992.0
    },
    {
      "type": "state_municipal",
      "label": "State or municipal government entities (including government pension plans)",
      "count": null,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "other_investment_advisers",
      "label": "Other investment advisers",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "insurance_companies",
      "label": "Insurance companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "sovereign_wealth_foreign_official",
      "label": "Sovereign wealth funds and foreign official institutions",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "corporations_other_businesses",
      "label": "Corporations or other businesses not listed above",
      "count": 7,
      "fewer_than_5": false,
      "raum": 16172369.0
    },
    {
      "type": "other",
      "label": "Other",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    }
  ],
  "disclosure_line": "Reports 1 disclosure item on Form ADV Item 11.",
  "indexable": true,
  "suppressed": false,
  "claimed": false,
  "enhanced": false,
  "provided_by_the_firm": null,
  "source": {
    "name": "Form ADV",
    "as_of": "2026-10-01",
    "iapd_url": "https://adviserinfo.sec.gov/firm/summary/116069",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}