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SYMPHONIC FINANCIAL ADVISORS LLC

NEW YORK, NY · CRD 135603 · IAPD ↗ · 212-702-3500

$125.2MRegulatory AUM
4Advisory reps
4Employees
0Clients
1-10Planning clients
0Private funds
51States
8Disclosures
wealthSegment
ApprovedSEC status

Filing changes

60
June 2024 — SYMPHONIC FINANCIAL ADVISORS LLC (NEW YORK, NY) left the SEC roster (was $125.2M RAUM, 4 reps).
Firm dropped off the SEC roster: closed, merged, fell below $100M and moved to state registration, or a 120-day provisional registration lapsed.
Recruiting & transitionsM&A & valuation
50
March 2024 — SYMPHONIC FINANCIAL ADVISORS LLC's Item 11 disclosure-reporting entries rose by 1 (7 -> 8).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
50
February 2024 — SYMPHONIC FINANCIAL ADVISORS LLC's Item 11 disclosure-reporting entries rose by 2 (5 -> 7).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand

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