Harmonic Investment Management, Inc. (Memphis)

Name: Harmonic Investment Management, Inc.
Address: Brinkley Plaza, 80 Monroe Avenue, Memphis, TN, 38103
Telephone: 901-522-8282

Harmonic Investment Management, Inc. is a large advisory firm based in Memphis. It manages $94.65 million of regulatory assets for 4 client accounts. It has been registered with the SEC as an adviser since 2005 and has operated in the jurisdiction of Tennessee.

Harmonic Investment Management provides portfolio management for pooled investment vehicles and market timing services. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Harmonic Investment Management: assets under management

The assets under management (AUM) of Harmonic Investment Management, Inc. is $94.65 million. The company doesn't manage any assets belonging to foreign clients.

The firm manages $15.65 million in discretionary accounts and $79 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $5.22 million each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $79 million.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Harmonic Investment Management, Inc. for their services and products based on a percentage of assets under management and performance-based fees. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at Harmonic Investment Management, Inc.

Colleen Marie Mitchell has been acting as President since 1 Jun 2000. Gregory Joel Casals joined the executive team most recently as the Senior Vice President.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Beth Ann Anderson	Chief compliance officer	1 Mar 1998	Other	1250333
Gerald F Corcoran	Chief executive officer	1 Jun 2000	Other	1830824
Colleen Marie Mitchell	President	1 Jun 2000	Other	2315990
Jeffrey Miceli	Chief financial officer	1 Jan 2001	Other	5031398
Karen Louise Northup	Senior vice president	1 Aug 2004	Other	1814966
Gregory Joel Casals	Senior vice president	1 Sep 2004	Other	2160891
Matthew Allen Daniel	Senior vice president	1 Sep 2004	Other	2160878
Inc. R.J. O'brien & Associates	Parent company	1 Sep 2004	75% - 100%	36-2403612

Indirect Owners

The SEC currently registers 1 indirect owner.

Name	Entity	Date acquired	Ownership	Employer ID
John William Obrien	Chairman	1 Jun 2000	50% - 75%	1148954

Based in Memphis

The principal office where Harmonic Investment Management, Inc. performs its advisory services is located at Brinkley Plaza, 80 Monroe Avenue, Memphis, TN 38103, which is also the mailing address of the firm. An additional office of the firm is in Chicago, IL. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 901-522-8282 or by fax 646-304-3453. The normal business hours are 8:00 am - 5:00 pm on Monday - Friday. You can find more information about the New York firm at www.harmonicfunds.com.