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

Symphonic Financial Advisors LLC

Former SEC-registered adviserNew York, New YorkCRD 135603SEC 801-64456IAPD
Latest filing Feb 29, 2024
First filing on the tape Mar 28, 2012 · 42 filings
RAUM
$125M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$125M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
12
beyond the principal office
Private funds
0
reported on Schedule D
History
42 filings and snapshots on the tape
RAUM$125M as of Jan 26, 2024
Mar 28, 2012$161M then
HNW client RAUM$5.9M as of Jan 26, 2024
Jan 27, 2023$9.2M then
State-registered IARs (5.B.3)4 as of Jan 26, 2024
Mar 28, 201328 then
Employees (5.A)4 as of Jan 26, 2024
Mar 28, 201338 then
Private funds: no history
RAUM -6.0% over the last fiscal year-2.1% a year over threeIARs 3 to 4offices 13 to 12
Practice profile
derived from the filing of Feb 29, 2024; every figure names its basis
RAUM per advisor
$31.3MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
171derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.2MderivedHNW RAUM over HNW clients
Average account
$101,450derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
0.3derived13 offices incl. principal (1.F.5)
RAUM growth, one year
-6.0%derivedbetween the last two annual amendments
Advisor growth, one year
+33%derivedItem 5.B.3 between annual amendments
Client growth, one year
-15%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
Ownership
a bank, bancorp or trust company is a 50 percent or greater ownerderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • is a broker-dealer (6.A.1)
  • 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
  • Individuals$119M95%
  • High-net-worth individuals$5.9M4.8%
  • Pension and profit-sharing plans$437,7770.3%
Individual clients
680reported
HNW clients
5reported
Pension plan clients
3reported
Charitable clients
n/areported
Accounts
1,234reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
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
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Alexander Kurt Hawkesworth · Chief Operating Officer And Board Membercontrol
      since 02/2008 · owns less than 5%
    • Beth Rochelle Levy · Chief Compliance Officercontrol
      since 11/2022 · owns less than 5%
    • Joseph Michael Nunnelee · Board Member
      since 04/2019 · owns less than 5%
    Entity owners
    • City National Rochdale Holdings, LLC · Managing Member
      direct · owns less than 5%
    • City National Bank · Managing Member Of Cnr Holdings, LLC
      indirect · owns 75% or more of Cnr Holdings, LLC
    • RBC USA Holdco Corporation · Owner
      indirect · owns 75% or more of City National Bank
    • Royal Bank Of Canada · Ultimate Owner
      indirect · owns 75% or more of RBC USA Holdco Corporation · public reporting company
    Related persons
    Schedule D 7.A
    Advisers that list Symphonic Financial Advisors LLC as a related person
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Centennial, Co000
    Delray Beach, Fl000
    Duluth, Mn000
    Fitchburg, Wi000
    Houston, Tx000
    Kansas City, Mo000
    Los Aneles, Ca000
    Lutherville, Md000
    Olathe, Ks000
    Rockport, Tx000
    New York, Ny · principal000
    Los Angeles, Ca000
    Offices
    Schedule D 1.F, the 25 largest
    • Lutherville, MD4 employees
    • Rockport, TX2 employees
    • Los Angeles, CA2 employees
    • Duluth, MN2 employees
    • Woodlands, TX1 employees
    • Beverly Hills, CA1 employees
    • Kansas City, MO1 employees
    • Houston, TX1 employees
    • Fitchburg, WI1 employees
    • Houston, TX1 employees
    • Olathe, KS1 employees
    What changed
    consecutive filings, newest first
    • Accounts · 806 to 1,234
      Oct 25, 2023 to Jan 26, 2024
    • HNW clients · 7 to 5
      Oct 25, 2023 to Jan 26, 2024
    • Individual clients · 798 to 680
      Oct 25, 2023 to Jan 26, 2024
    • Pension plan clients · 1 to 3
      Oct 25, 2023 to Jan 26, 2024
    • Employees · 5 to 4
      Oct 25, 2023 to Jan 26, 2024
    • Insurance-licensed employees · 3 to 0
      Oct 25, 2023 to Jan 26, 2024
    • State-registered IARs · 3 to 4
      Oct 25, 2023 to Jan 26, 2024
    • Other offices · 13 to 12
      Oct 25, 2023 to Jan 26, 2024
    • Discretionary RAUM · $133M to $125M
      Oct 25, 2023 to Jan 26, 2024
    • HNW RAUM · $9.2M to $5.9M
      Oct 25, 2023 to Jan 26, 2024
    • Individual RAUM · $124M to $119M
      Oct 25, 2023 to Jan 26, 2024
    • Pension RAUM · $122,907 to $437,777
      Oct 25, 2023 to Jan 26, 2024
    • RAUM · $133M to $125M
      Oct 25, 2023 to Jan 26, 2024
    • Accounts · 1,199 to 806
      Nov 28, 2022 to Jan 27, 2023
    • Advisory employees · 5 to 4
      Nov 28, 2022 to Jan 27, 2023
    • HNW clients · unset to 7.0
      Nov 28, 2022 to Jan 27, 2023
    • Individual clients · 1,198 to 798
      Nov 28, 2022 to Jan 27, 2023
    • Commission compensation · true to false
      Nov 28, 2022 to Jan 27, 2023
    • Insurance-licensed employees · 0 to 3
      Nov 28, 2022 to Jan 27, 2023
    • Discretionary RAUM · $0 to $133M
      Nov 28, 2022 to Jan 27, 2023
    • HNW RAUM · unset to 9182384.0
      Nov 28, 2022 to Jan 27, 2023
    • Individual RAUM · $138M to $124M
      Nov 28, 2022 to Jan 27, 2023
    • Non-discretionary RAUM · $139M to $0
      Nov 28, 2022 to Jan 27, 2023
    • Pension RAUM · $135,132 to $122,907
      Nov 28, 2022 to Jan 27, 2023
    • RAUM · $139M to $133M
      Nov 28, 2022 to Jan 27, 2023
    • Accounts · 1,302 to 1,199
      Dec 16, 2021 to Jan 29, 2022
    • Advisory employees · 3 to 5
      Dec 16, 2021 to Jan 29, 2022
    • Individual clients · 1,300 to 1,198
      Dec 16, 2021 to Jan 29, 2022
    • Pension plan clients · 2 to 1
      Dec 16, 2021 to Jan 29, 2022
    • Financial planning clients · 101-250 to 1-10
      Dec 16, 2021 to Jan 29, 2022
    • Individual RAUM · $131M to $138M
      Dec 16, 2021 to Jan 29, 2022
    • Non-discretionary RAUM · $134M to $139M
      Dec 16, 2021 to Jan 29, 2022
    • Pension RAUM · $2.3M to $135,132
      Dec 16, 2021 to Jan 29, 2022
    • RAUM · $134M to $139M
      Dec 16, 2021 to Jan 29, 2022
    • Accounts · 1,364 to 1,302
      Jun 25, 2020 to Jan 29, 2021
    • Individual clients · 1,364 to 1,300
      Jun 25, 2020 to Jan 29, 2021
    • Pension plan clients · 1 to 2
      Jun 25, 2020 to Jan 29, 2021
    • Individual RAUM · $131M to $131M
      Jun 25, 2020 to Jan 29, 2021
    • Non-discretionary RAUM · $133M to $134M
      Jun 25, 2020 to Jan 29, 2021
    • Pension RAUM · $1.6M to $2.3M
      Jun 25, 2020 to Jan 29, 2021
    Signals
    31 dated events
    • David Matthew Terrell no longer registered at Symphonic Financial Advisors Llc; no later IA registration on IAPD
      May 21, 2024 · Advisor departure · fact
    • Larry Thomas Olea no longer registered at Symphonic Financial Advisors Llc; no later IA registration on IAPD
      May 21, 2024 · Advisor departure · fact
    • Shelly Hall left Symphonic Financial Advisors Llc for Cambridge Investment Research Advisors, Inc. (registered 2024-03-04)
      Mar 19, 2024 · Advisor changed firm · fact
    • Dean Thomas Russell left Symphonic Financial Advisors Llc for Cambridge Investment Research Advisors, Inc. (registered 2024-01-12)
      Jan 22, 2024 · Advisor changed firm · fact
    • David Michael Coiro left Symphonic Financial Advisors Llc for Cambridge Investment Research Advisors, Inc. (registered 2024-01-12)
      Jan 19, 2024 · Advisor changed firm · fact
    • 2 advisors left Symphonic Financial Advisors LLC (New York, NY) for Cambridge Investment Research Advisors, Inc. within 3 days
      Jan 19, 2024 · Team lift-out · derived
    • Margaret Rowell Anderson left Symphonic Financial Advisors Llc for Summit Financial, Llc (registered 2023-12-18)
      Dec 20, 2023 · Advisor changed firm · fact
    • Julia Rafalko Vaughn left Symphonic Financial Advisors Llc for Summit Financial, Llc (registered 2023-12-18)
      Dec 20, 2023 · Advisor changed firm · fact
    • Audrey Bieber Drossner left Symphonic Financial Advisors Llc for Summit Financial, Llc (registered 2023-12-18)
      Dec 20, 2023 · Advisor changed firm · fact
    • 2 advisors left Symphonic Financial Advisors LLC (Lutherville, MD) for Summit Financial, LLC on the same day
      Dec 20, 2023 · Team lift-out · derived
    • Mary Ellen Schwartz left Symphonic Financial Advisors Llc for Cambridge Investment Research Advisors, Inc. (registered 2023-12-08)
      Dec 8, 2023 · Advisor changed firm · fact
    • Ryan Michael Johnson left Symphonic Financial Advisors Llc for Cambridge Investment Research Advisors, Inc. (registered 2023-12-01)
      Dec 4, 2023 · Advisor changed firm · fact
    • Jason Daniel Staff left Symphonic Financial Advisors Llc for Cambridge Investment Research Advisors, Inc. (registered 2023-12-01)
      Dec 4, 2023 · Advisor changed firm · fact
    • Craig Steven Chilcote left Symphonic Financial Advisors Llc for Cambridge Investment Research Advisors, Inc. (registered 2023-12-01)
      Dec 4, 2023 · Advisor changed firm · fact
    • Angela Nicole Ruddock left Symphonic Financial Advisors Llc for Cambridge Investment Research Advisors, Inc. (registered 2023-12-01)
      Dec 4, 2023 · Advisor changed firm · fact
    • 2 advisors left Symphonic Financial Advisors LLC (New York, NY) for Cambridge Investment Research Advisors, Inc. on the same day
      Dec 4, 2023 · Team lift-out · derived
    • Juanita Christine Olson left Symphonic Financial Advisors Llc for Cambridge Investment Research Advisors, Inc. (registered 2023-12-01)
      Dec 1, 2023 · Advisor changed firm · fact
    • 2 advisors left Symphonic Financial Advisors LLC (Houston, TX) for Cambridge Investment Research Advisors, Inc. within 3 days
      Dec 1, 2023 · Team lift-out · derived
    • William James Hudnall left Symphonic Financial Advisors Llc for Pcg Wealth Management (registered 2024-02-05)
      Nov 8, 2023 · Advisor changed firm · fact
    • William Gregory Kenton left Symphonic Financial Advisors Llc for Cambridge Investment Research Advisors, Inc. (registered 2023-11-01)
      Nov 6, 2023 · Advisor changed firm · fact
    • Garrett Richard D'Alessandro left Symphonic Financial Advisors Llc for Sandro Wealth Management Llc (registered 2025-01-10)
      Oct 25, 2023 · Advisor changed firm · fact
    • Richard Garrett Dalessandro (President, Ceo, Cio And Board Member) no longer on Schedule A of Symphonic Financial Advisors Llc (listed 2023-01-27, absent 2023-10-25)
      Oct 25, 2023 · Control person left · inference
    • Timothy Joseph Kulick left Symphonic Financial Advisors Llc for Denver Pwm, Llc (registered 2023-09-12)
      Sep 22, 2023 · Advisor changed firm · fact
    • Brian D Beldham left Symphonic Financial Advisors Llc for Cetera Investment Advisers Llc (registered 2026-06-01)
      May 23, 2023 · Advisor changed firm · fact
    • Joseph Richard Barton (Vp, Chief Compliance Officer) no longer on Schedule A of Symphonic Financial Advisors Llc (listed 2022-04-06, absent 2022-11-01)
      Nov 1, 2022 · Control person left · inference
    • Beth Rochelle Levy (Chief Compliance Officer) appeared on Schedule A of Symphonic Financial Advisors Llc
      Nov 1, 2022 · Control person joined · fact
    • Peter Donald Delano (Chief Compliance Officer) no longer on Schedule A of Symphonic Financial Advisors Llc (listed 2021-12-16, absent 2022-01-29)
      Jan 29, 2022 · Control person left · inference
    • Joseph Richard Barton (Vp, Chief Compliance Officer) appeared on Schedule A of Symphonic Financial Advisors Llc
      Jan 29, 2022 · Control person joined · fact
    • Peter Donald Delano (Chief Compliance Officer) appeared on Schedule A of Symphonic Financial Advisors Llc
      Jan 31, 2020 · Control person joined · fact
    • Jay William Freeman (Board Member) no longer on Schedule A of Symphonic Financial Advisors Llc (listed 2019-02-12, absent 2019-04-24)
      Apr 24, 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