Harmony Asset Management provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, selecting other managers, and educational seminars. Financial planning was provided to 1–10 clients last fiscal year.
Harmony Asset Management reports 275 clients. They include 133 individual clients, 133 high-net-worth individuals, and 7 corporations and other businesses. Of its assets, 90.1% ($417M across 523 accounts) are managed with discretion; $45.9M across 79 accounts are not. Of its clients, 11% are outside the U.S.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 48% | 12% |
| High-net-worth individuals | 48% | 68% |
| Charitable organizations | <1% | 17% |
| Corporations and other businesses | 3% | 3% |
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 133 | $53.9M | 11.7% | $405K |
| High-net-worth individuals | 133 | $315M | 68.1% | $2.37M |
| Charitable organizations | 2 | $77.6M | 16.8% | $38.8M |
| Corporations and other businesses | 7 | $16.2M | 3.5% | $2.31M |
| Total | 275 | $463M | 100% | $1.68M |
- Clients
- 133
- Regulatory AUM
- $53.9M
- AUM share
- 11.7%
- Avg. per client
- $405K
- Clients
- 133
- Regulatory AUM
- $315M
- AUM share
- 68.1%
- Avg. per client
- $2.37M
- Clients
- 2
- Regulatory AUM
- $77.6M
- AUM share
- 16.8%
- Avg. per client
- $38.8M
- Clients
- 7
- Regulatory AUM
- $16.2M
- AUM share
- 3.5%
- Avg. per client
- $2.31M
Total
- Clients
- 275
- Regulatory AUM
- $463M
- AUM share
- 100%
- Avg. per client
- $1.68M
- Clients outside the U.S.
- 11%
- Clients advised without assets under management last fiscal year
- 0
- Private funds advised
- 0
- Financial planning clients last fiscal year
- 1–10
Harmony Asset Management charges 1.65%–2.00% a year for its Portfolio Management Fees. The fee is billed in advance and is negotiable. The brochure also prices 2 other services, listed under fee details.
Fee details and sources
Other fees
- Financial Planning
- One-time negotiated fee, typically starting at $5,000; additional work is charged at $300 an hour.
- Harmony Wealth Academy Programs
- Enrollment programs priced from $97 (5-day Financial Reset Sprint) to $5,000 (16-week Empowered program); optional coaching is billed hourly.
Alan Rosenfield owns 75% or more of Harmony Asset Management. The leadership team of Harmony Asset Management includes Chief Compliance Officer Alan Rosenfield. It has 10 employees, 9 of them in advisory roles.
Leadership
Alan RosenfieldManaging Director and Chief Compliance Officer
Investment adviser representatives
7 representatives listed in the SEC register as of 9 October 2026.
Staff
- 10 employees
- 9 in advisory functions
- 8 state-registered reps
- 2 insurance agents
- Owns 75% or more of Harmony Asset Management LLC
Alan Rosenfield
Control person · since May 2001
Harmony Asset Management’s regulatory assets grew 4.2× from $109M (July 2021) to $463M (March 2026); clients rose from 140 to 275 and employees from 7 to 10.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | Employees | Offices |
|---|---|---|---|---|
| March 2026 | $463M | 275 | 10 | 5 |
| April 2025 | $394M | 260 | 9 | 5 |
| March 2024 | $356M | 236 | 9 | 5 |
| April 2023 | $314M | 224 | 9 | 3 |
| March 2022 | $117M | 168 | 8 | 3 |
| July 2021 | $109M | 140 | 7 | 3 |
Besides its headquarters, Harmony Asset Management has 4 offices (2 private residences, listed without an address), with 3 listed addresses in Arizona, Florida and Texas.
Arizona · 1 listed address
- 16220 N. Scottsdale Road, Suite 300, ScottsdaleHQ
Florida · 1 listed address
- 4600 West Cypress Street, Tampa
Texas · 1 listed address
- 300 E. Davis Street, McKinney
Other business names
Harmony Asset Management has reported 2 other business names to the SEC.
- Harmony Nonprofit
- Harmony Wealth Academy
Contact and registration details
- Legal name
- Harmony Asset Management LLC
- Headquarters
- 16220 N. Scottsdale Road, Suite 300, Scottsdale, AZ 85254
- Website
- harmonyam.com
- Phone
- 480-314-5967
- SEC file
- 801-118731
- Structure
- Arizona LLC
- Fiscal year end
- December
Harmony Asset Management uses Fidelity ($117M) as custodian for its separately managed accounts. Harmony Asset Management has custody of $97.4M in client assets for 60 clients.
- FidelityFidelity Distributors Company LLC · Smithfield, RI · $117M100%
At year end, Harmony Asset Management’s separately managed accounts were mostly in stocks (59%) and funds (19%). Its reported 13F holdings for the quarter ended 30 June 2026 total $372M across 201 positions; the largest are Nvidia Corporation (5.7%), Apple Inc. (5.3%) and Cboe Global Mkts Inc. (4.8%).
What the accounts hold
- Stocks59%
- Funds19%
- Bonds12%
- State and local bonds5%
- Investment grade corporate bonds5%
- U.S. government and agency bonds2%
- Cash10%
Reported 13F holdings
- $372M
- Reported 13F value
- 201
- Positions
- 35.8%
- In the 10 largest
- +13.8%
- Value vs. prior quarter
- Nvidia Corporation5.7%
- Apple Inc.5.3%
- Cboe Global Mkts Inc.4.8%
- Alphabet Inc. · Cap Stk CL A4.7%
- Amazon Com Inc.3.5%
- Eli Lilly & CO3.1%
- Microsoft Corp.2.8%
- Palo Alto Networks Inc.2.0%
- Visa Inc. · Com CL A1.9%
- Fidelity Merrimack Str TR · Low Duration BD1.9%
Together, the ten largest are 35.8% of reported value.
How many clients does Harmony Asset Management have?
Harmony Asset Management has 275 clients and manages $463 million for them, as of March 2026. They include 133 individual clients, 133 high-net-worth individuals, and 7 corporations and other businesses.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 23 March 2026
What services does Harmony Asset Management offer?
Harmony Asset Management provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, selecting other managers, and educational seminars.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file
How much does Harmony Asset Management charge?
Harmony Asset Management charges 1.65%–2.00% a year for its Portfolio Management Fees. The fee is billed in advance and is negotiable.
Source: HARMONY ASSET MANAGEMENT LLC - BROCHURE, filed 23 March 2026
Which custodians does Harmony Asset Management use?
Harmony Asset Management’s separately managed account assets are held at Fidelity Distributors Company LLC (Smithfield, RI), with $117M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 23 March 2026
How many financial advisors does Harmony Asset Management have?
Harmony Asset Management has 8 investment adviser representatives registered with state securities authorities, out of 10 employees, and 9 perform investment advisory functions. 0 employees are registered representatives of a broker-dealer and 2 employees are licensed insurance agents.
Source: Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file
What does Harmony Asset Management invest in?
At the end of its last fiscal year, Harmony Asset Management’s separately managed accounts held 59% exchange-traded equities, 19% registered funds (mutual funds, ETFs, BDCs), 10% cash and equivalents, 5% state and local bonds, 5% investment grade corporate bonds and 2% U.S. government and agency bonds.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns Harmony Asset Management?
Harmony Asset Management’s direct owner is Alan Rosenfield (75% or more).
Source: Form ADV Part 1A, Schedules A and B, filed 23 March 2026
How does Harmony Asset Management get paid?
Harmony Asset Management is paid through a percentage of assets under management, hourly charges and fixed fees. Its Form ADV lists no commissions or performance-based fees among how it is paid.
Source: Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file
How do I contact Harmony Asset Management?
Harmony Asset Management’s main office is at 16220 N. Scottsdale Road, Suite 300, Scottsdale, AZ 85254. Its phone number is 480-314-5967. Its website is harmonyam.com.