← Directory
SYMPHONY FINANCIAL, LTD. CO.
CRD 171816File 801-79989
APPROVED
Retail clients
Custody
Filing as of Aug 24, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$1.35B
Above cohort median (national)
Discretionary AUM
$1.35B
Clients
2,850
4,178 accounts
Employees
26
Top 25% of cohort in TX
Identity & registration
ADV Item 1- Organization form
- Limited Liability Company
- Firm type
- Registered
- SEC region
- FWRO
- Registration date
- Jun 30, 2014
- Principal office
- 4295 SAN FELIPE, SUITE 300, HOUSTON, TX, 77027
- Phone
- 281-272-6800
- Website
- http://apexrm.com
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $1.35B
- Discretionary AUM
- $1.35B
- Non-discretionary AUM
- $0
- Discretionary accounts
- 4,178
- Non-discretionary accounts
- 0
- Total accounts
- 4,178
- AUM per client
- $475K
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | 21 | $37.3M |
| Charitable organizations | 6 | $5.3M |
| High net worth individuals | 836 | $1.02B |
| Pension and profit sharing plans | Fewer than 5 | $660K |
| Individuals (other than high net worth individuals) | 1,987 | $290.2M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Fixed fees
- Hourly charges
- A percentage of assets under your management
Advisory activities
- Other advisory activities
- Financial planning services
- Selection of other advisers
- Portfolio management for other
- Portfolio management for businesses
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- Yes
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- Yes
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11This firm answered no to every Item 11 disclosure question in this filing.
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Apr 1, 2026 | Employees | 36 | 26 | decreased by10 |
| Apr 1, 2026 | Clients | 2,236 | 2,850 | increased by614 |
| Apr 1, 2026 | AUM | $1,093,185,695 | $1,354,847,217 | increased by$261,661,522 |
| Apr 1, 2026 | Accounts | 3,324 | 4,178 | increased by854 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 29 | 36 | increased by7 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 985 | 2,236 | increased by1,251 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $565,442,438 | $1,093,185,695 | increased by$527,743,257 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 1,559 | 3,324 | increased by1,765 |
| Mar 1, 2022 | Employees | 28 | 29 | increased by1 |
| Mar 1, 2022 | Custody | No | Yes | |
| Mar 1, 2022 | Clients | 850 | 985 | increased by135 |
| Mar 1, 2022 | AUM | $453,000,800 | $565,442,438 | increased by$112,441,638 |
| Mar 1, 2022 | Accounts | 1,226 | 1,559 | increased by333 |
| Apr 1, 2021 | Registration | — | APPROVED |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “SYMPHONY FINANCIAL” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“SYMPHONY FINANCIAL” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.