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RIA / WealthAdvisor42 years in industry

DALE JOSEPH BOETTCHER

Advisor at HARMONY ASSET MANAGEMENT LLC

Tampa, FL | SCOTTSDALE, AZ

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Search this name across graphsid dfx:ria:d2e9f9f5-c03e-1710-185a-1a7c3f80a324

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 12:33 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Jan 21, 2003 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: HARMONY ASSET MANAGEMENT LLC
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Feb 21, 1984earliest registration or exam on IAPD
Years in industry: 42derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 2
Exams: S63|S65
First exam: Feb 21, 1984
First registration: Jan 21, 2003
Dual registered: no
Other names: DALE JOSEPH BOETTCHER
IAPD individual key: 1228871

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
HARMONY ASSET MANAGEMENT LLC	Independent wealth	Apr 13, 2018	n/a	yes	SCOTTSDALE, AZ\|Tampa, FL	Current employment
HAYDEN ROYAL	Former SEC adviser	Jan 12, 2018	Jun 4, 2018	no	Tampa, FL\|CHARLOTTE, NC	Previous registration
PLATINUM WEALTH PARTNERS	Former SEC adviser	Oct 6, 2017	Mar 12, 2018	no	TAMPA, FL	Previous registration
MORGAN STANLEY	Wirehouse	Feb 9, 2011	Mar 30, 2016	no	Tampa, FL\|Tampa, FL\|SOUTH JORDAN, UT\|CLEARWATER, FL	Previous registration
MORGAN STANLEY & CO. LLC	n/a	Apr 2, 2007	Jun 8, 2010	no	GULFPORT, FL\|NEW YORK, NY\|DALLAS, TX\|DALLAS, TX\|PURCHASE, NY	Previous registration
MORGAN STANLEY DW INC.	n/a	Jan 21, 2003	Apr 2, 2007	no	NEW YORK, NY\|PURCHASE, NY	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
HAYDEN ROYAL	HARMONY ASSET MANAGEMENT LLC	Jun 4, 2018	Apr 13, 2018	-52	Firm change after gap	RIA to RIA
PLATINUM WEALTH PARTNERS	HAYDEN ROYAL	Mar 12, 2018	Jan 12, 2018	-59	Firm change after gap	Other
MORGAN STANLEY	PLATINUM WEALTH PARTNERS	Mar 30, 2016	Oct 6, 2017	555	Firm change after gap	Other
MORGAN STANLEY & CO. LLC	MORGAN STANLEY	Jun 8, 2010	Feb 9, 2011	246	Firm change	Other
MORGAN STANLEY DW INC.	MORGAN STANLEY & CO. LLC	Apr 2, 2007	Apr 2, 2007	0	Bulk transfer	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
170037:116069:NC:2018-06-04	Jun 4, 2018	Apr 13, 2018	CHARLOTTE, NC	Firm change after gap

Relationships

Registered with (6)

→ HARMONY ASSET MANAGEMENT LLCRegistered adviserregistration: current employment
Apr 13, 2018 to presentfactForm ADV
→ HAYDEN ROYALRegistered adviserregistration: previous registration
Jan 12, 2018 to Jun 4, 2018factForm ADV
→ PLATINUM WEALTH PARTNERSRegistered adviserregistration: previous registration
Oct 6, 2017 to Mar 12, 2018factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Feb 9, 2011 to Mar 30, 2016factForm ADV
→ MORGAN STANLEY & CO. LLCRegistered adviserregistration: previous registration
Apr 2, 2007 to Jun 8, 2010factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
Jan 21, 2003 to Apr 2, 2007factForm ADV

Dated events

No dated event names this entity yet.