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Alejandro Tapia

Symphony Financial, LTD. CO.
23 Years of Experience
Houston, TX
1 DisclosureBroker
View SEC Summary
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Alejandro Tapia is a registered investment advisor at Symphony Financial, LTD. CO., based in Houston, TX, with 23 years of industry experience. Alejandro is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Charitable Giving, Education Planning, Estate Planning, Financial Planning & Coaching, and 5 more. Their firm serves 2,850 clients with $1.4B in assets under management.

Symphony Financial, LTD. CO.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
46 advisors
Number of Clients
2,850 clients
Average Client Portfolio
$475K average
Assets Under Management
$1.4B

Fee Structure

Planning is included in investment management
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.50%

Annual management fee ranges between 0% and 2.50% depending on the size and composition of the portfolio and services rendered. Fees are negotiable based on criteria such as anticipated future assets, account size, relationship history, and complexity.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

17725 John F. Kennedy Blvd, Second Floor, Houston, TX, 77032

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History

Regulatory History (1)
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.
Customer Dispute
March 2013
Denied
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Alejandro operates Aviation Retirement Strategies, LLC as a DBA for his LPL business. He also provides investment advisory services through Symphony Financial Ltd. Co., dedicating nearly full-time hours to this activity, and is involved in real estate rental through ARS Leasing.

Employment History
Current Registrations
Symphony Financial, LTD. CO.
July 2014 - Present · 12 yrs 3 mos
LPL Financial LLCBroker
October 2004 - Present · 22 yrs
Previous Registrations
LPL Financial LLC
January 2026 - July 2026 · 6 mos
LPL Financial LLC
October 2004 - October 2015 · 11 yrs
AXA Advisors, LLC
April 2003 - October 2004 · 1 yr 6 mos
AXA Advisors, LLCBroker
April 2003 - October 2004 · 1 yr 6 mos
State Registrations38 states
AKALARAZCACODEFLGAHIIDILINKYLAMDMNMOMTNCNENHNJNMNVNYOHORPASCSDTNTXUTVAWAWIWY
AdvisorBrokerBoth

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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