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.

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Former SEC-registered adviser

S••••••• O•• C•••••• M••••••••• L••

STATE REGISTEREDDallas, TexasCRD 329568websiteIAPD
Latest filing Jul 30, 2026
First filing on the tape Jul 30, 2026 · 1 filings
RAUM
$13.0M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
16%
$2.1M individuals and HNW
Advisors
n/a
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
0 filings and snapshots on the tape
RAUM: no history
HNW client RAUM: no history
State-registered IARs (5.B.3): no history
Employees (5.A): no history
Private funds: no history
Practice profile
derived from the filing of Jul 30, 2026; every figure names its basis
RAUM per advisor
$4.3MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
2derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$352,140derivedHNW RAUM over HNW clients
Average account
$1.6MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.3derivedItem 5.A over advisors
Advisors per office
1.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed fees, performance-basedreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for pooled vehiclesreportedItem 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
  • 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)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$10.9M84%
  • High-net-worth individuals$2.1M16%
Individual clients
0reported
HNW clients
6reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
8reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, performancereported
Class basis
on the IAPD state feed, not SEC-registeredderived
Advisors registered through the firm
3 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
W•••••• S•••• H•••Chartered Financial AnalystDallas, TxMar 15, 202413 y2
V••••• G•••• S•••••••••Wilmington, NcJun 9, 202511 y2
K••••• M••••••• A• A•••Dallas, Tx Jul 1, 202511 y0
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 days1 left over 36 months
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
No Schedule A on the extract for this adviser.
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Dallas, Tx · principal201
Wilmington, Nc200
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
One filing, no change to show.
Signals
1 dated events
  • T•••• R••••••••• left S••••••• O•• C•••••• M••••••••• L•• for B••• W••••• S••••••••• L•• (registered 2026-02-23)
    Feb 23, 2026 · Advisor changed firm · 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 email
scott@symphonyonecapital.comreportedpublished by the firm, firm site, Sep 15, 2026
Business phone
617-331-8033reportedpublished by the firm, firm site, Sep 15, 2026
Firm profile
linkedin.com/company/symphony-one-capital-managementreportedpublic record, Form ADV, Sep 18, 2026
Website
symphonyonecapital.comreportedpublic record, Form ADV, Sep 18, 2026
Principal office phone
617-331-8033reportedpublic record, Form ADV, Jul 30, 2026
Contact form
symphonyonecapital.com/contact-usreportedpublished by the firm, firm site, Sep 15, 2026
Team page
symphonyonecapital.com/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
STATE REGISTEREDderiveda rule over Items 5.D and 7.A
RAUM per advisor
n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 15, 2026