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HARMONY ASSET MANAGEMENT LLC

SCOTTSDALE, AZ · CRD 116069 · IAPD ↗ · 480-314-5967

$462.5MRegulatory AUM
9Advisory reps
10Employees
0Clients
1-10Planning clients
0Private funds
7States
1Disclosures
wealthSegment
ApprovedSEC status

Filing changes

68
April 2026 — HARMONY ASSET MANAGEMENT LLC now reports custody of client assets ($97.4M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
45
April 2025 — HARMONY ASSET MANAGEMENT LLC notice-filed in SC.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
53
April 2024 — HARMONY ASSET MANAGEMENT LLC added office(s): 3 -> 4 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.