Alan Edward Rosenfield

Employer firm

Harmony Asset Management LLC CRD 116069

$463M regulatory AUM

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Selection of other advisers
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 12/2005 → Present
  Harmony Asset Management Llc
  Scottsdale, AZ

Previous Registrations

• 2017-02-09 → 2017-12-31
  Platinum Wealth Partners
  Scottsdale, AZ
  Tampa, FL

Other Businesses

Managing member of FiBD Investments - oversees private investments for Harmony Asset Management clients. The last investment was made in 2008. I do not get paid anything for this work - my responsibilities are only to provide updates on the investments. The total time related to this is less than an hour per month. FiBD Investments had it's first investment in 2006. HARMONY RESEARCH & COMPLIANCE LLC SCOTTSDALE, AZ SINCE 01/01/2021 MANAGING MEMBER PROVIDES RESEARCH IDEAS, INVESTMENT STRATIGIES AND MODELS TO HARMONY AM. ALSO PROVIDE COMPLIANCE TO HARMONY AM

Exams

• S65 Uniform Investment Adviser Law Examination
  1992-08-08
• S63 Uniform Securities Agent State Law Examination
  1983-06-22