# SYMPHONY ASSET MANAGEMENT LLC: Form D filings

SYMPHONY ASSET MANAGEMENT LLC, a financial services company in San Francisco, CA, filed 9 Form D notices with the SEC between 2011 and 2020. The latest, on May 4, 2020, reports an offering of no set size with nothing sold yet to 11 investors.

Find out what SYMPHONY ASSET MANAGEMENT LLC does, who founded it and who invested, beyond what the filing says. $10 of credit on sign-up, no card.

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## The full lists

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- [Form D filings in California](https://specstream.ai/data/form-d/state/california): 5,891 rows, by operating companies, filed since November 1, 2024, $138.91, or the new rows each week for $19 a month. Buy: https://specstream.ai/data/form-d/state/california
- [Form D filings in Other Banking and Financial Services](https://specstream.ai/data/form-d/industry/other-banking-and-financial-services): 1,280 rows, by operating companies, filed since November 1, 2024, $64, or the new rows each week for $19 a month. Buy: https://specstream.ai/data/form-d/industry/other-banking-and-financial-services

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## Company details from the filing

- Address: 555 CALIFORNIA STREET, SUITE 3100, San Francisco, CA, 94104
- Phone: (415) 676-4000
- Industry: Other Banking and Financial Services
- Entity type: Limited Liability Company
- Incorporated in: California
- Revenue range: Decline to Disclose
- Exemptions claimed: Rule 506(b)
- SEC identifier (CIK): 1030815

## Form D filings

| Filed | Type | Offering | Sold | Remaining | Investors | First sale | Filing |
| --- | --- | --- | --- | --- | --- | --- | --- |
| May 4, 2020 | Amendment | Indefinite | $0 | Indefinite | 11 | Feb 28, 2019 | [sec.gov](https://www.sec.gov/Archives/edgar/data/1030815/000139372520000092/0001393725-20-000092-index.htm) |
| Mar 19, 2019 | New notice | Indefinite | $0 | Indefinite | 10 | Feb 28, 2019 | [sec.gov](https://www.sec.gov/Archives/edgar/data/1030815/000139372519000054/0001393725-19-000054-index.htm) |
| Jun 9, 2017 | Amendment | Indefinite | $0 | Indefinite | 19 | Mar 15, 2011 | [sec.gov](https://www.sec.gov/Archives/edgar/data/1030815/000095017217000057/0000950172-17-000057-index.htm) |
| Jun 9, 2016 | Amendment | Indefinite | $0 | Indefinite | 19 | Mar 15, 2011 | [sec.gov](https://www.sec.gov/Archives/edgar/data/1030815/000095017216000208/0000950172-16-000208-index.htm) |
| Mar 11, 2015 | Amendment | Indefinite | $0 | Indefinite | 19 | Mar 15, 2011 | [sec.gov](https://www.sec.gov/Archives/edgar/data/1030815/000095017215000039/0000950172-15-000039-index.htm) |
| Mar 11, 2014 | Amendment | Indefinite | $0 | Indefinite | 18 | Mar 15, 2011 | [sec.gov](https://www.sec.gov/Archives/edgar/data/1030815/000095017214000036/0000950172-14-000036-index.htm) |
| Mar 13, 2013 | Amendment | Indefinite | $0 | Indefinite | 17 | Mar 15, 2011 | [sec.gov](https://www.sec.gov/Archives/edgar/data/1030815/000095017213000034/0000950172-13-000034-index.htm) |
| Mar 16, 2012 | Amendment | Indefinite | $0 | Indefinite | 11 | Mar 15, 2011 | [sec.gov](https://www.sec.gov/Archives/edgar/data/1030815/000095017212000016/0000950172-12-000016-index.htm) |
| Mar 18, 2011 | New notice | Indefinite | $0 | Indefinite | 11 | Mar 15, 2011 | [sec.gov](https://www.sec.gov/Archives/edgar/data/1030815/000103081511000003/0001030815-11-000003-index.htm) |

## Executive officers and directors named in the filing

| Name | Role | Note in the filing |
| --- | --- | --- |
| Judith R. MacDonald | Executive Officer |  |
| Scott R. Grace | Executive Officer |  |
| Geoffrey William Moore | Executive Officer |  |
| N/A Nuveen Investments Holdings, Inc. | Promoter |  |
| Angela M. McKillen | Executive Officer |  |

## Other financial services companies in California that filed recently

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- [PFD MANAGEMENT FUND 1006, LLC](https://specstream.ai/data/form-d/company/pfd-management-fund-1006-llc-1943127) $22 million · Aug 20, 2026
- [PFD Management Opportunity Fund 3001, LLC](https://specstream.ai/data/form-d/company/pfd-management-opportunity-fund-3001-llc-1926534) $25 million · Aug 20, 2026
- [PFD MANAGEMENT FUND 1005, LLC](https://specstream.ai/data/form-d/company/pfd-management-fund-1005-llc-1911408) $20.3 million · Aug 17, 2026
- [PFD MANAGEMENT FUND 1004, LLC](https://specstream.ai/data/form-d/company/pfd-management-fund-1004-llc-1865394) $20.9 million · Aug 14, 2026

[Every Form D from the week of May 4, 2020](https://specstream.ai/data/form-d/week/2020-05-04) · [All recent filings in California](https://specstream.ai/data/form-d/state/california) · [All recent Other Banking and Financial Services filings](https://specstream.ai/data/form-d/industry/other-banking-and-financial-services)

Read from SEC EDGAR. Amount sold is what SYMPHONY ASSET MANAGEMENT LLC reported on the day it filed; on an offering that is still open, a later amendment can raise it. Free to reuse with credit to SpecStream under [CC BY 4.0](https://creativecommons.org/licenses/by/4.0/).