Harmony Asset Management Llc
- Regulatory AUM
- $463M
- Discretionary
- $417M
- Clients
- 275
- Avg AUM / client
- $1.7M
- Accounts
- 602
- Employees
- 10
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Mar 23, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 133 | $53.9M | 11.7% |
| High net worth individuals | 133 | $315M | 68.1% |
| Charitable organizations | 2 | $77.6M | 16.8% |
| Corporations and other businesses | 7 | $16.2M | 3.5% |
People (8)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Alan Edward Rosenfield | Managing Director And Chief Compliance Officer | May 2001 (25y) | 75% or more | |
| Dale Joseph Boettcher | Registered representative | Apr 2018 (8y) | ||
| Hairold Lopez | Registered representative | Jun 2018 (8y) | ||
| Kenneth K Jobson | Registered representative | Jan 2020 (7y) | ||
| Monica A Kaufman | Registered representative | CFP | Nov 2020 (6y) | |
| Michael Smith Aloian | Registered representative | Jan 2022 (5y) | ||
| Stuart Jeffries Henley | Registered representative | Oct 2023 (3y) | ||
| Mark Jameison Eisenhut | Registered representative | Aug 2025 (1y) |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/23/2026 | 1.11 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
- • Selection of other advisers
- • Educational seminars/workshops
Custody
Reported custodians
- Fidelity Distributors Company Llc $117M (25% of AUM) Mar 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 23, 2026.
View current Form ADV (SEC/IAPD) ↗