Symphony Financial Services, Inc.
- Regulatory AUM
- $429M
- Discretionary
- $345M
- Clients
- 641
- Avg AUM / client
- $669K
- Accounts
- 1,312
- Employees
- 7
AUM over time
Annual snapshots from Form ADV filings · as of Feb 25, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 520 | $158M | 36.8% |
| High net worth individuals | 71 | $172M | 40.1% |
| Pension and profit sharing plans | 36 | $88.4M | 20.6% |
| Charitable organizations | 6 | $5.6M | 1.32% |
| Insurance companies | 1 | $1.6M | 0.38% |
| Corporations and other businesses | 7 | $3.3M | 0.78% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Visual Marking Systems, Inc. 401(k) Retirement Plan Visual Marking Systems, Inc. | 2024 | |
| Montrose Auto Group 401(k) Retirement Savings Plan Mta Investments, Inc. | 2024 |
People (8)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| John Y Kim | President | Jun 2001 (25y) | 75% or more | |
| Craig Michael Small | Vice President And Chief Compliance Officer | CFA | Jun 2008 (18y) | Less than 5% |
| Paul Donald Sansonette | Registered representative | Feb 2009 (17y) | ||
| Scott Douglas Spears | Registered representative | Feb 2009 (17y) | ||
| Spencer Lee Gabriel | Registered representative | Jan 2010 (17y) | ||
| Steven Robert Smetana | Registered representative | Dec 2016 (10y) | ||
| Mark K Millar | Registered representative | Jun 2020 (6y) | ||
| Daniel Auble | Registered representative | Jun 2026 (0y) |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Retirement plans served (2)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Visual Marking Systems, Inc. 401(k) Retirement Plan | Visual Marking Systems, Inc. | 118 | $4.5M | 01/01/2024 |
| Montrose Auto Group 401(k) Retirement Savings Plan | Mta Investments, Inc. | 306 | $10.5M | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 02/25/2026 | 911 KB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Pension consulting services
- • Selection of other advisers
Custody
Reported custodians
- LPL Financial $355M (83% of AUM) Feb 2026
- Voya Financial $52.6M (12% of AUM) Feb 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Feb 25, 2026.
View current Form ADV (SEC/IAPD) ↗