DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Former SEC-registered adviser

Symphony Asset Management LLC

Former SEC-registered adviserSan Francisco, CaliforniaCRD 110687SEC 801-52638IAPD
Latest filing Dec 11, 2020
First filing on the tape Mar 30, 2012 · 47 filings
RAUM
$16B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
99
44 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
21
$7.2B gross assets
History
47 filings and snapshots on the tape
RAUM$18B as of Mar 31, 2020
Mar 30, 2012$8.7B then
HNW client RAUM$0 as of Mar 31, 2020
Mar 29, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 31, 2020
Mar 28, 20131 then
Employees (5.A)99 as of Mar 31, 2020
Mar 28, 201370 then
Private funds25 as of Mar 31, 2020
Mar 30, 201230 then
RAUM -14% over the last fiscal year-6.8% a year over threeIARs 0 to 0offices 2 to 1
Practice profile
derived from the filing of Dec 11, 2020; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$353MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
4.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
-2.1%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
-13%derived
Compensation
percentage of assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
Custody
$2.5B, 13 clientsreportedItem 9.A
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$9.2B57%
  • Investment companies$5.7B35%
  • Corporations and businesses$739M4.5%
  • Pension and profit-sharing plans$539M3.3%
  • State and municipal entities$132M0.8%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
3reported
Charitable clients
n/areported
Accounts
46reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$2.5B for 13 clientsreported
Compensation
% of AUM, performancereported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    38 reported on Schedule D 7.B.(1)
    FundTypeGross assetsOwnersFirst reported
    Symphony Clo Vi, Ltdno longer reportedSecuritized Asset Fund$410M9Mar 30, 2012
    Baycity Senior Loan Fund, L.P.Other Private Fund$398M11Mar 31, 2014
    Symphony Eureka Fund, L.P.no longer reportedHedge Fund$343M2Mar 30, 2012
    Baycity Customized Solution Fund S, L.P.Hedge Fund$336M2Aug 6, 2015
    Symphony Clo Vii, Ltd.no longer reportedSecuritized Asset Fund$329M6Mar 30, 2012
    Symphony Clo I, Ltd.no longer reportedSecuritized Asset Fund$267M10Mar 30, 2012
    Symphony Clo IV, Ltd.no longer reportedSecuritized Asset Fund$265M9Mar 30, 2012
    Symphony Credit Opportunities Fund Ltd.no longer reportedSecuritized Asset Fund$256M18Mar 30, 2012
    Ssf-1 LLCno longer reportedHedge Fund$114M45Nov 5, 2014
    Symphony Credit Opportunities Master Fund, L.P.no longer reportedHedge Fund$101M2Mar 30, 2012
    Overture 7 Fund, L.P.no longer reportedHedge Fund$101M7Mar 30, 2012
    Baycity Customized Solution Fund R, L.P.Hedge Fund$77.1M2Aug 6, 2015
    Symphony Event Driven Opportunities Fund, LPno longer reportedHedge Fund$70.1M26Feb 19, 2013
    Baycity Convertible Arbitrage Master Fund, L.P.no longer reportedHedge Fund$58.3M10Mar 30, 2012
    Bravura 99 Fund, L.P.no longer reportedHedge Fund$42.5M9Mar 30, 2012
    Baycity Event Driven Opportunities Master Fund, L.P.no longer reportedHedge Fund$35.8M12Feb 19, 2013
    Symphony Clo Opportunities Master Fund, L.P.no longer reportedHedge Fund$33.5M11Mar 28, 2013
    Symphony Clo Viii Limited Partnershipno longer reportedSecuritized Asset Fund$22.3M5Mar 28, 2013
    California Street Clo II, Ltd.no longer reportedSecuritized Asset Fund$21.9M3Mar 30, 2012
    Symphony Event Driven Opportunities Fundno longer reportedHedge Fund$15.7M5Feb 19, 2013
    Symphony Hedging Entity Limitedno longer reportedHedge Fund$11.4M1Mar 30, 2012
    Baycity Convertible Bond Fund, L.P.no longer reportedOther Private Fund$10.0M2Mar 30, 2012
    California Street Clo III, Ltd.no longer reportedSecuritized Asset Fund$9.2M12Mar 30, 2012
    Overture Fund, L.P.no longer reportedHedge Fund$3.2M6Mar 30, 2012
    Baycity Small Cap Core Fund, L.P.no longer reportedOther Private Fund$3.1M2Mar 30, 2012
    Bravo Fundno longer reportedHedge Fund$1.5M1Mar 30, 2012
    Netnet Ventures Fund I, L.P.no longer reportedOther Private Fund$918,10267Mar 30, 2012
    Symphony Clo X, Ltd.no longer reportedSecuritized Asset Fund$737,8913Mar 28, 2013
    Baycity Long-Short Equity Fund, L.P.no longer reportedHedge Fund$615,3014Feb 26, 2018
    California Street Clo Xi Limited PartnershipSecuritized Asset Fund$391,9438Mar 28, 2013
    Baycity Event Driven Opportunities Fund, L.P.Hedge Fund$345,30110Mar 31, 2020
    Symphony Equity And Credit Opportunities Fund, L.P.no longer reportedHedge Fund$98,4251Mar 30, 2012
    Adante Fund, L.P.no longer reportedHedge Fund$047Mar 30, 2012
    Arpeggio Fundno longer reportedHedge Fund$01Mar 30, 2012
    Encore Fund, L.P.no longer reportedHedge Fund$020Mar 30, 2012
    Adagio Fundno longer reportedHedge Fund$08Mar 30, 2012
    Fortissimo Fundno longer reportedHedge Fund$03Mar 30, 2012
    Rhapsody Fund, L.P.no longer reportedHedge Fund$013Mar 30, 2012
    Owners and control persons
    Schedule A and B, latest filing
    • Stewart Scott Grace · Business Head
      since 03/2019 · owns less than 5%
    • R Judith Macdonald · General Counsel
      since 02/2013 · owns less than 5%
    • William Geoffrey Moore · Chief Compliance Officer
      since 10/2019 · owns less than 5%
    Entity owners
    • Nuveen Investments Holdings, Inc. · Managing Member
      direct · owns 25% to 50%
    • Nuveen Investments, Inc. · Member
      direct · owns 50% to 75%
    • Nuveen Finance, LLC · Shareholder
      indirect · owns 75% or more of Nuveen Holdings 1, Inc.
    • Nuveen Holdings 1, Inc. · Shareholder
      indirect · owns 75% or more of Nuveen Holdings, Inc.
    • Nuveen Holdings, Inc. · Shareholder
      indirect · owns 75% or more of Nuveen Investments, Inc.
    • Nuveen Investments, Inc. · Shareholder
      indirect · owns 75% or more of Nuveen Investments Holdings, Inc.
    • Nuveen, LLC · Member
      indirect · owns 75% or more of Nuveen Finance, LLC
    • Teachers Insurance And Annuity Association Of America · Member
      indirect · owns 75% or more of Nuveen, LLC
    • Tiaa Board Of Overseers · Shareholder
      indirect · owns 75% or more of Teachers Insurance And Annuity Association Of America
    Related persons
    Schedule D 7.A
    Advisers that list Symphony Asset Management LLC as a related person
    Offices
    Schedule D 1.F, the 25 largest
    • New York, NY4 employees
    What changed
    consecutive filings, newest first
    • Accounts · 215 to 46
      Mar 31, 2020 to Jul 30, 2020
    • Charity clients · 0.0 to unset
      Mar 31, 2020 to Jul 30, 2020
    • Corporate clients · 9 to 1
      Mar 31, 2020 to Jul 30, 2020
    • HNW clients · 0.0 to unset
      Mar 31, 2020 to Jul 30, 2020
    • Individual clients · 154.0 to unset
      Mar 31, 2020 to Jul 30, 2020
    • Pension plan clients · 7 to 3
      Mar 31, 2020 to Jul 30, 2020
    • Pooled vehicle clients · 32 to 29
      Mar 31, 2020 to Jul 30, 2020
    • Private funds · 25 to 21
      Mar 31, 2020 to Jul 30, 2020
    • Discretionary RAUM · $18B to $16B
      Mar 31, 2020 to Jul 30, 2020
    • HNW RAUM · 0.0 to unset
      Mar 31, 2020 to Jul 30, 2020
    • Individual RAUM · 14584335.0 to unset
      Mar 31, 2020 to Jul 30, 2020
    • Pension RAUM · $569M to $539M
      Mar 31, 2020 to Jul 30, 2020
    • Pooled vehicle RAUM · $9.9B to $9.2B
      Mar 31, 2020 to Jul 30, 2020
    • RAUM · $18B to $16B
      Mar 31, 2020 to Jul 30, 2020
    • Wrap assets (manager) · 14988068.0 to unset
      Mar 31, 2020 to Jul 30, 2020
    • Wrap assets (sponsor) · 0.0 to unset
      Mar 31, 2020 to Jul 30, 2020
    • Accounts · 246 to 215
      Oct 30, 2019 to Mar 31, 2020
    • Advisory employees · 28 to 44
      Oct 30, 2019 to Mar 31, 2020
    • BD registered reps · 8 to 10
      Oct 30, 2019 to Mar 31, 2020
    • Corporate clients · 12 to 9
      Oct 30, 2019 to Mar 31, 2020
    • Individual clients · 177 to 154
      Oct 30, 2019 to Mar 31, 2020
    • Pension plan clients · 8 to 7
      Oct 30, 2019 to Mar 31, 2020
    • Pooled vehicle clients · 35 to 32
      Oct 30, 2019 to Mar 31, 2020
    • Assets in custody · $3.0B to $2.5B
      Oct 30, 2019 to Mar 31, 2020
    • Employees · 82 to 99
      Oct 30, 2019 to Mar 31, 2020
    • Private funds · 28 to 25
      Oct 30, 2019 to Mar 31, 2020
    • Discretionary RAUM · $19B to $18B
      Oct 30, 2019 to Mar 31, 2020
    • Individual RAUM · $14.3M to $14.6M
      Oct 30, 2019 to Mar 31, 2020
    • Pension RAUM · $503M to $569M
      Oct 30, 2019 to Mar 31, 2020
    • Pooled vehicle RAUM · $9.9B to $9.9B
      Oct 30, 2019 to Mar 31, 2020
    • RAUM · $19B to $18B
      Oct 30, 2019 to Mar 31, 2020
    • Wrap assets (manager) · $14.8M to $15.0M
      Oct 30, 2019 to Mar 31, 2020
    • BD registered reps · 7 to 8
      Aug 26, 2019 to Oct 30, 2019
    • Corporate clients · 8 to 12
      Aug 26, 2019 to Oct 30, 2019
    • Other offices · 2 to 1
      Aug 26, 2019 to Oct 30, 2019
    • Private funds · 30 to 28
      Jun 26, 2019 to Aug 26, 2019
    • Accounts · 273 to 246
      Jan 4, 2019 to Mar 29, 2019
    • Advisory employees · 30 to 28
      Jan 4, 2019 to Mar 29, 2019
    • Corporate clients · 9 to 8
      Jan 4, 2019 to Mar 29, 2019
    • Individual clients · 196 to 177
      Jan 4, 2019 to Mar 29, 2019
    Signals
    1 dated events
    • Brandeis Anne Popkin (President) no longer on Schedule A of Symphony Asset Management Llc (listed 2018-12-07, absent 2019-01-04)
      Jan 4, 2019 · Control person left · inference
    Across DFX
    shared identifiers only, never a name match
    No identifier-backed link to the venture, private equity, family office or sponsor graphs.
    Provenance
    Form ADV
    SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
    Advisors
    IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
    Class
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026