Harmonic Investment Management, Inc. (Memphis)


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. The adviser charges an additional fee when a set benchmark is outperformed. 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.