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.
SEC-registered adviser
Symphony Financial Services, Inc.
Latest filing Feb 25, 2026
First filing on the tape Mar 13, 2012 · 26 filings
SEC status approved since Jun 24, 2004
RAUM
$429M
reported, Item 5.F
Discretionary
80%
of RAUM
Private clients
77%
$330M individuals and HNW
Advisors
8
registered through the firm on IAPD
RAUM per advisor
$53.6M
derived; firm RAUM over IAPD count
Employees
7
7 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$429M as of Feb 25, 2026
Mar 13, 2012$160M then
HNW client RAUM$172M as of Feb 25, 2026
Mar 30, 2018$96.3M then
State-registered IARs (5.B.3)7 as of Feb 25, 2026
Mar 13, 20120 then
Employees (5.A)7 as of Feb 25, 2026
Mar 26, 20132 then
Private funds: no history
RAUM +14% over the last fiscal year+14% a year over threeIARs 7 to 7
Practice profile
derived from the filing of Feb 25, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $53.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 74derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $326,754derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 80%derivedof RAUM
- Institutional
- 22%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.9derivedItem 5.A over advisors
- Advisors per office
- 4.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.0%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- 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
- is an insurance broker or agent (6.A.6)
- 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$172M40%
- Individuals$158M37%
- Pension and profit-sharing plans$88.4M21%
- Charitable organizations$5.6M1.3%
- Corporations and businesses$3.3M0.8%
- Insurance companies$1.6M0.4%
- Individual clients
- 520reported
- HNW clients
- 71reported
- Pension plan clients
- 36reported
- Charitable clients
- 6reported
- Accounts
- 1,312reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.77 fund_share=0.0 institutional_share=0.22 related_bd=false related_bank=false bd_reps=7.0derived
Advisors registered through the firm
8 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Paul Donald Sansonette | Akron, Oh | Feb 19, 2009 | 23 y | 2 |
| Scott Douglas Spears | Akron, Oh | Feb 19, 2009 | 23 y | 3 |
| Craig Michael SmallChartered Financial Analyst | Akron, Oh | Feb 19, 2009 | 18 y | 0 |
| Spencer Lee Gabriel | Akron, Oh | Jan 19, 2010 | 31 y | 2 |
| John Y Kim | Akron, Oh | Mar 14, 2012 | 24 y | 3 |
| Steven Robert Smetana | Akron, Oh | Dec 13, 2016 | 19 y | 3 |
| Mark K Millar | Akron, Oh | Jun 10, 2020 | 40 y | 3 |
| Daniel Auble | Akron, Oh | Jun 7, 2026 | 10 y | 1 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
- Robert John Schaefer to Sjs Investment ServicesNov 27, 2024 · RIA to RIA
- William Gandert to Sequoia Financial Group, L.L.C.Sep 26, 2018 · RIA to RIA
- Richard Andrew Weidrick to Summit Wealth Management LLCSep 17, 2015 · Other
- Russell Todd Mcalonie to Independent Financial PartnersSep 19, 2014 · Other
Joined, latest
- Daniel Auble from Key Investment Services LLCJun 7, 2026 · Affiliated broker-dealer or bank to independent RIA
- Mark K Millar from Wells Fargo AdvisorsJun 10, 2020 · Wirehouse to independent RIA
- William Gandert from Stratos Wealth Partners, LtdMar 30, 2017 · Other
- Steven Robert Smetana from Ameriprise Financial Services, LLCDec 13, 2016 · Other
- John Y Kim from M Holdings Securities, Inc.Mar 14, 2012 · Other
- Russell Todd Mcalonie from Raymond James Financial Services, Inc.Mar 14, 2012 · Other
- Spencer Lee Gabriel from Morgan StanleyJan 19, 2010 · Other
- Richard Andrew Weidrick from LPL Financial LLCFeb 19, 2009 · Other
- Scott Douglas Spears from M Holdings Securities, Inc.Feb 19, 2009 · Other
- Paul Donald Sansonette from M Holdings Securities, Inc.Feb 19, 2009 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Y John Kim · Presidentcontrolsince 06/2001 · owns 75% or more
- Michael Craig Small · Vice President And Chief Compliance Officercontrolsince 06/2008 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Akron, Oh · principal | 8 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 1,254 to 1,312Mar 14, 2025 to Feb 25, 2026
- Charity clients · 5 to 6Mar 14, 2025 to Feb 25, 2026
- Corporate clients · 8 to 7Mar 14, 2025 to Feb 25, 2026
- Individual clients · 492 to 520Mar 14, 2025 to Feb 25, 2026
- Pension plan clients · 41 to 36Mar 14, 2025 to Feb 25, 2026
- Discretionary RAUM · $308M to $345MMar 14, 2025 to Feb 25, 2026
- HNW RAUM · $157M to $172MMar 14, 2025 to Feb 25, 2026
- Individual RAUM · $124M to $158MMar 14, 2025 to Feb 25, 2026
- Non-discretionary RAUM · $67.9M to $84.0MMar 14, 2025 to Feb 25, 2026
- Pension RAUM · $83.0M to $88.4MMar 14, 2025 to Feb 25, 2026
- RAUM · $376M to $429MMar 14, 2025 to Feb 25, 2026
- Accounts · 1,269 to 1,254Sep 17, 2024 to Mar 14, 2025
- Advisory employees · 9 to 7Sep 17, 2024 to Mar 14, 2025
- BD registered reps · 11 to 7Sep 17, 2024 to Mar 14, 2025
- Charity clients · unset to 5.0Sep 17, 2024 to Mar 14, 2025
- Corporate clients · 7 to 8Sep 17, 2024 to Mar 14, 2025
- HNW clients · 79 to 71Sep 17, 2024 to Mar 14, 2025
- Individual clients · 499 to 492Sep 17, 2024 to Mar 14, 2025
- Pension plan clients · 39 to 41Sep 17, 2024 to Mar 14, 2025
- Employees · 11 to 7Sep 17, 2024 to Mar 14, 2025
- Financial planning clients · 1-10 to 1-10Sep 17, 2024 to Mar 14, 2025
- State-registered IARs · 9 to 7Sep 17, 2024 to Mar 14, 2025
- Discretionary RAUM · $284M to $308MSep 17, 2024 to Mar 14, 2025
- HNW RAUM · $155M to $157MSep 17, 2024 to Mar 14, 2025
- Individual RAUM · $106M to $124MSep 17, 2024 to Mar 14, 2025
- Non-discretionary RAUM · $60.0M to $67.9MSep 17, 2024 to Mar 14, 2025
- Pension RAUM · $72.6M to $83.0MSep 17, 2024 to Mar 14, 2025
- RAUM · $344M to $376MSep 17, 2024 to Mar 14, 2025
- Related broker-dealer · true to falseFeb 14, 2024 to Sep 17, 2024
- Accounts · 1,272 to 1,269Mar 7, 2023 to Feb 14, 2024
- BD registered reps · 10 to 11Mar 7, 2023 to Feb 14, 2024
- Charity clients · 3.0 to unsetMar 7, 2023 to Feb 14, 2024
- Corporate clients · 12 to 7Mar 7, 2023 to Feb 14, 2024
- HNW clients · 69 to 79Mar 7, 2023 to Feb 14, 2024
- Individual clients · 511 to 499Mar 7, 2023 to Feb 14, 2024
- Pension plan clients · 35 to 39Mar 7, 2023 to Feb 14, 2024
- Employees · 10 to 11Mar 7, 2023 to Feb 14, 2024
- Other offices · 0 to 1Mar 7, 2023 to Feb 14, 2024
- Discretionary RAUM · $244M to $284MMar 7, 2023 to Feb 14, 2024
- HNW RAUM · $124M to $155MMar 7, 2023 to Feb 14, 2024
Signals
2 dated events
- Robert John Schaefer left Symphony Financial Services, Inc. for Sjs Investment Services (registered 2024-05-17)Nov 27, 2024 · Advisor changed firm · fact
- Michael Craig Small (Vice President) appeared on Schedule A of Symphony Financial Services, Inc.Mar 18, 2019 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business phone
- 330-434-2000reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/symphony-financial-services-securties-oreportedpublic record, Form ADV, Sep 17, 2026
- Website
- SYMPHONY-FINANCIAL.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 330-434-2000reportedpublic record, Form ADV, Feb 25, 2026
- Contact form
- symphony-financial.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- symphony-financial.com/our-teamreportedpublished by the firm, firm site, Sep 15, 2026
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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $53.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026