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SYMPHONY ASSET MANAGEMENT LLC
SYMPHONY ASSET MANAGEMENT LLC (CRD# 110687) is an SEC-Registered Investment Advisor (RIA), headquartered in San Francisco, CA. The SEC approved the firm to operate as an RIA in Aug 1996. In Mar 2019, the firm reported total Regulatory Assets Under Management (RAUM) of $18.8 Billion, with discretion over 100% of those assets.   Pooled investment vehicles (Private Funds) account for 53% of RAUM.   Non-US investors represent 48% .  
 
SYMPHONY ASSET MANAGEMENT LLC also reported in Mar 2019
  • 82 employees, with 28 performing advisory functions.
  • A total of 3 office locations.
  • No registrations with foreign financial regulatory authorities.
  • NO OPERATIONS as a Commodity Pool Operator (CPO) or Commodity Trading Advisor (CTA).
SYMPHONY ASSET MANAGEMENT LLC has one or more disclosure events currently on file with the SEC.
 

View SYMPHONY ASSET MANAGEMENT LLC's most recent Form ADV filing
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SYMPHONY ASSET MANAGEMENT LLC has Notice Filings with the following State Securities Authorities: AK-Apr 2005, AL-Mar 2005, AR-Mar 2005, AZ-Mar 2005, CA-Oct 1996 , CO-Mar 2005, CT-Mar 2005, DC-Mar 2005, DE-Apr 2005, FL-Mar 2005 , GA-Mar 2005, HI-Mar 2005, IA-Mar 2005, ID-Mar 2005, IL-Apr 2005 , IN-Mar 2005, KS-Mar 2005, KY-Mar 2005, LA-Mar 2005, MA-Mar 2005 , MD-Mar 2005, ME-Mar 2005, MI-Mar 2005, MN-Apr 2005, MO-Mar 2005 , MS-Mar 2005, MT-Mar 2005, NC-Mar 2005, ND-Mar 2005, NE-Mar 2005 , NH-Mar 2005, NJ-Apr 2005, NM-Mar 2005, NV-Mar 2005, NY-Mar 2005 , OH-Mar 2005, OK-Mar 2005, OR-Mar 2005, PA-Mar 2005, PR-Mar 2005 , RI-Mar 2005, SC-Mar 2005, SD-Mar 2005, TN-Mar 2005, TX-Mar 2005 , UT-Mar 2005, VA-Mar 2005, VT-Mar 2005, WA-Mar 2005, WI-Mar 2005 , WV-Mar 2005, WY-Mar 2018


Disclaimer: 
The information presented above was gleaned from the SEC website and is believed to be accurate.  FindingFraud.org is presenting this data for informational purposes only and assumes no responsibility for errors or omissions.  Please note that we are aware of many instances where RIAs provided erroneous data to the SEC.  Feel free to contact FindingFraud.org with questions or concerns.


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