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Stuart Henley

Harmony Asset Management LLC
41 Years of Experience
Auburn, AL
4 Disclosures
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Stuart Henley is a registered investment advisor at Harmony Asset Management LLC, based in Auburn, AL, with 41 years of industry experience. Stuart operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, High Net Worth, and 4 more. Their firm serves 275 clients with $460M in assets under management.

Harmony Asset Management LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
7 advisors
Number of Clients
275 clients
Average Client Portfolio
$1.7M average
Assets Under Management
$462.5M

Fee Structure

Minimum Investment:$500K
Investment management only (planning not offered)
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $500K2.00%
$500K - $1.0M1.75%
$1.0M - $3.0M1.65%
$3M+1.65%

Fees for accounts above $3,000,000 are negotiable.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
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Location

Auburn, AL

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History

Regulatory History (4)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Regulatory
September 2020
Final
Regulatory
May 2019
Final
Employment Separation After Allegations
March 2018
Customer Dispute
September 2016
Settled
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Harmony Asset Management LLC
August 2018 - Present · 8 yrs 2 mos
Previous Registrations
Calton & Associates, INC.Broker
June 2018 - August 2018 · 2 mos
Morgan StanleyBroker
June 2009 - March 2018 · 8 yrs 9 mos
Morgan Stanley
June 2009 - March 2018 · 8 yrs 9 mos
Morgan Stanley & CO. Incorporated
April 2007 - June 2009 · 2 yrs 2 mos
Morgan Stanley & CO. IncorporatedBroker
April 2007 - June 2009 · 2 yrs 2 mos
Morgan Stanley
May 1999 - April 2007 · 7 yrs 11 mos
Morgan Stanley Dw INC.Broker
May 1999 - April 2007 · 7 yrs 11 mos
Painewebber IncorporatedBroker
December 1991 - May 1999 · 7 yrs 5 mos
Lehman Brothers INC.Broker
January 1986 - December 1991 · 5 yrs 11 mos
Ids Marketing CorporationBroker
June 1985 - February 1986 · 8 mos
State Registrations1 state
AL
Advisor

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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