Alan Rosenfield has been Managing Director and Chief Compliance Officer of Harmony Asset Management since May 2001, is a control person of the firm and directly owns 75% or more of it.
Harmony Asset Management LLC is a Scottsdale, AZ firm with $463M under management, 275 clients and 9 advisers across 5 offices, as of its March 2026 filing.
Alan E. Rosenfield is Managing Director of Harmony Asset Management. He is on the Portfolio Management Team and the Investment Committee and has 36 years of experience. He has done extensive public speaking, television and print interviews, and writing on investment topics and strategies.
Alan Rosenfield’s longest registration is the current one, 23 years at Harmony Asset Management since 2003.
- Platinum Wealth Partners– · under a yearScottsdale, AZ · Adviser representative · Firm CRD 145507
- Harmony Asset Management LLCCurrent– present · 23 yearsScottsdale, AZ · Adviser representative · Firm CRD 116069
Investment adviser representative registrations
Alan Rosenfield is registered as an investment adviser representative in Arizona, since August 2003.
- ArizonaSince 22 August 2003
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 8 August 1992 |
| Series 15 | Foreign Currency Options Examination | 22 February 1984 |
| Series 63 | Uniform Securities Agent State Law Examination | 22 June 1983 |
| Series 7 | General Securities Representative Examination | 21 May 1983 |
- Name
- Uniform Investment Adviser Law Examination
- Name
- Foreign Currency Options Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Alan Edward Rosenfield
- CRD
- 1129174
- Firm
- Harmony Asset Management · CRD 116069
- Role
- Managing Director and Chief Compliance Officer
- Office
- 16220 N. SCOTTSDALE ROAD, SUITE 300, Scottsdale, AZ 85254
- Registration
- Investment adviser registration
- In the industry since
- August 2003
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- harmonyam.com
Where does Alan Rosenfield work?
Alan Rosenfield has been Managing Director and Chief Compliance Officer of Harmony Asset Management LLC since May 2001, and is a control person of the firm.
Is Alan Rosenfield a financial advisor?
Yes. Alan Rosenfield has a current investment-adviser registration in Arizona, through Harmony Asset Management since August 2003.
How many years of experience does Alan Rosenfield have?
Alan Rosenfield has 23 years in the financial industry, since August 2003, across 2 adviser firms.
What exams has Alan Rosenfield passed?
Alan Rosenfield has passed 4 licensing exams: the Series 7, Series 63, Series 15 and Series 65. The earliest, the Series 7, was passed in May 1983.
Where is Alan Rosenfield based?
Alan Rosenfield’s registered office is in Scottsdale, AZ.
Is Alan Rosenfield registered with FINRA?
No. Alan Rosenfield has no current broker registration.
How can I verify Alan Rosenfield’s record?
Search CRD 1129174 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Alan Rosenfield’s full registration record.