# Symphony Financial Services, Inc.

> Symphony Financial Services, Inc. is an SEC-registered investment advisory firm in Akron, OH, registered since 2004, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated February 25, 2026.

- CRD: 125058
- Filed as: SYMPHONY FINANCIAL SERVICES, INC.
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Akron, OH
- Filing period: October 2026
- Form ADV filing dated: February 25, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/125058
- AdvisorCensus page: https://advisorcensus.com/firm/symphony-financial-services-inc-akron-oh-125058

## Quick answers

**How is Symphony Financial Services, Inc. compensated?**
On its Form ADV (Item 5.E, October 2026), Symphony Financial Services, Inc. reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees).

**Where is Symphony Financial Services, Inc. located?**
Symphony Financial Services, Inc.'s principal office is in Akron, OH, according to its Form ADV.

**Is Symphony Financial Services, Inc. registered with the SEC or a state?**
Symphony Financial Services, Inc. is an SEC-registered investment advisory firm, registered since 2004. Status as filed: Approved. CRD 125058.

**How much does Symphony Financial Services, Inc. manage?**
Symphony Financial Services, Inc. reports $428,700,951 in regulatory assets under management in its Form ADV filing dated February 25, 2026 (80% discretionary).

**How have Symphony Financial Services, Inc.'s assets and staff changed since 2021?**
In the Form ADV data for Symphony Financial Services, Inc.: Regulatory assets under management: $291,419,576 in the October 2021 data and $428,700,951 in the October 2026 data, up 47%. Total employees: 14 in October 2021 and 7 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Symphony Financial Services, Inc. serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (520); high net worth individuals (71); pension and profit sharing plans (but not the plan participants or government pension plans) (36).

**Which custodians does Symphony Financial Services, Inc. use?**
Symphony Financial Services, Inc.'s most recent Form ADV filing (Schedule D, Section 5.K(3)) lists LPL Financial LLC and Voya Financial as custodians holding 10% or more of its separately managed account assets.

**Does Symphony Financial Services, Inc. report any disciplinary disclosures?**
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/125058

**What changed in Symphony Financial Services, Inc.'s recent Form ADV filings?**
In the March 2026 filing data: Regulatory assets under management went from $376,086,940 to $428,700,951 (+14%).

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)

### Custodians (Schedule D, Section 5.K(3))
- LPL Financial LLC
- Voya Financial

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.

### Regulatory assets under management (Item 5.F)
- Total: $428,700,951
- Discretionary: $344,672,544
- Non-discretionary: $84,028,407

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 520 | $157,633,531 |
| High net worth individuals | 71 | $172,071,337 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 36 | $88,367,837 |
| Charitable organizations | 6 | $5,641,578 |
| Insurance companies | 1 | $1,649,059 |
| Corporations or other businesses not listed above | 7 | $3,337,609 |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Pension consulting services
- Selection of other advisers (including private fund managers)

### Firm details
- Registered since: 2004 (22 years)
- Employees: 7 total, 7 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: AR, CA, CO, FL, GA, HI, IL, IN, KY, LA, MO, NC, NJ, NY, OH, TX, VA
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- symphony-financial.com
- LinkedIn @symphony-financial-services-securties-offered-through-lpl-financial-finra-sipc-member
- LinkedIn @craigmsmall
- LinkedIn @james-jones-crpc®-8188547
- LinkedIn @john-kim-50748964
- LinkedIn @mark-millar-a4ab2714
- LinkedIn @robertjschaefer
- LinkedIn @steven-smetana-crpc®-08a4a328
- Facebook @SymphonyFinancialServicesInc

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $291,419,576 | 14 | August 19, 2021 |
| October 2022 | $339,461,674 | 11 | February 22, 2022 |
| October 2023 | $292,002,783 | 10 | March 7, 2023 |
| October 2024 | $344,313,408 | 11 | September 17, 2024 |
| October 2025 | $376,086,940 | 7 | March 14, 2025 |
| October 2026 | $428,700,951 | 7 | February 25, 2026 |

Regulatory assets under management: $291,419,576 in the October 2021 data and $428,700,951 in the October 2026 data, up 47%.
Total employees: 14 in October 2021 and 7 in October 2026.

## Changes in the filing (last 12 months)

### March 2026
- Regulatory assets under management went from $376,086,940 to $428,700,951 (+14%).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Symphony Financial Services, Inc. (CRD 125058): Form ADV filing data as of October 2026.