Form D · Other Banking and Financial Services
SYMPHONY ASSET MANAGEMENT LLC
San Francisco, CA · CIK 0001030815
Offering snapshot reported May 4, 2020 · SEC filing
- Reported sold
- $0 Indefinite offering
- Investors reported
- 11 Form D · investor count
- Minimum accepted
- $0 Reported outside-investor minimum
- First sale
- Feb 28, 2019 As reported in this filing
Fundraising history
Reported soldDates are filing dates, not cash receipt dates. Decreases are reported revisions, not evidence of withdrawals. Separate offering histories are not added together.
What changed?
Latest filing versus its linked predecessor, where available.
- Reported investors10 → 11
Filing history
Scroll to see all columns →
| Filed | Filing type | Reported sold | Change vs linked filing | Investors | Source |
|---|---|---|---|---|---|
| May 4, 2020 | Amendment | $0 | $0vs Mar 19, 2019 | 11 | SEC filing |
| Mar 19, 2019 | Initial | $0 | No comparison | 10 | SEC filing |
| Jun 9, 2017 | Amendment | $0 | $0vs Jun 9, 2016 | 19 | SEC filing |
| Jun 9, 2016 | Amendment | $0 | $0vs Mar 11, 2015 | 19 | SEC filing |
| Mar 11, 2015 | Amendment | $0 | $0vs Mar 11, 2014 | 19 | SEC filing |
| Mar 11, 2014 | Amendment | $0 | $0vs Mar 13, 2013 | 18 | SEC filing |
| Mar 13, 2013 | Amendment | $0 | $0vs Mar 16, 2012 | 17 | SEC filing |
| Mar 16, 2012 | Amendment | $0 | $0vs Mar 18, 2011 | 11 | SEC filing |
| Mar 18, 2011 | Initial | $0 | No comparison | 11 | SEC filing |
Offering details
- Securities
- Equity, Other
- Exemptions
- 06b
- Duration over one year
- Yes
- Business combination
- No
- Sales commissions
- $0
- Finders' fees
- $0
- Form D file number
- 021-335130
Offering consists of the issuance and grant of certain Units, which represent a profits interest in the Issuer, which were granted without cash consideration.
Limited Liability Company interests in the form of "Units"
Source: Form D, filed May 4, 2020. Minimum accepted may differ from a standard advertised minimum.
Fund connections
No confirmed ADV fund connection is available for this issuer.
People & organizations
Current and past Form D appearances. These existing records do not establish a person's current role or uniquely identify them across issuers.
| Name | Reported role |
|---|---|
| Scott Caraher | Executive |
| David C. Goldstein | Executive |
| Scott Grace | Executive |
| James Kim | Executive |
| Judith R. Mac Donald | Executive |
| Angela M. Mc Killen | Executive |
| Geoffrey William Moore | Executive |
| N/A Nuveen Investments Holdings, Inc. | Promoter |
| Anne B. Popkin | Executive |
| Jenny Rhee | Executive |
| Ross S. Sakamoto | Executive |
| Gunther M. Stein | Executive |
| Himani Trivedi | Executive |
Issuer details
Industry: Other Banking and Financial Services (See others in industry)
Address:San Francisco, CA, 94104