Symphony Financial, Ltd. Co. — 13F Holdings & Portfolio
CIK 1800687 · latest 13F-HR filed 2026-08-04
Symphony Financial, Ltd. Co. manages $914.3M in 13F-reported U.S. long-equity assets across 371 reported positions as of its 2026-06-30 13F-HR filing. Its largest disclosed positions are SPTM (4.88%), NVDA (4.28%), SPYG (3.61%). Quarter over quarter (versus its 2026-03-31 filing) the fund opened 75 new positions and exited 19; 211 existing positions rose in reported value and 51 fell.
AUM is the long-equity portion reported on Form 13F-HR. Excludes short positions, cash, foreign holdings, and non-13F assets. For informational purposes only — not investment advice.
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AUM
$914.3M
Long-equity book
Holdings
371
Distinct positions
Period
2026-06-30
Filed 2026-08-04
Q/Q Activity
+75 / −19 / ↑211 / ↓51
vs 2026-03-31
Portfolio charts
Latest quarter's book, what changed, and how the portfolio has evolved across filings.
Portfolio map
Q2 26SPTM4.9% · +3%NVDA4.3% · +9%SPYG3.6% · +2%AVDE3.3% · +10%AAPL2.5% · +6%SPY2.5% · +62%PULS2.4% · +6%AMZN2.3% · +6%MSFT2.1% · +12%SPYV2.0% · +7%AVUV1.9% · +6%SPIB1.9% · +8%GOOGL1.8% · +6%AVEM1.8% · +9%IWM1.6% · +9%SPHQ1.5% · +7%VTI1.5% · +2%IVV1.5% · +4%AVGO1.4% · +4%IEFA1.3% · +8%GOOG1.2% · +5%JPST1.2% · +19%JNJ1.2% · +1%IGF1.2% · +8%ANGL1.0% · +7%GLD1.0% · -38%XOM1.0% · -12%IUSV0.9% · +2%SLYV0.9% · +7%LLY0.9% · +4%JPM0.9% · -7%VONV0.9% · +5%TSLA0.8% · -0%V0.8% · +3%QUAL0.8% · +1%BRK.B0.8% · +0%MU0.7% · +5%ABBV0.7% · +7%SPDW0.7% · +2%MO0.7% · +3%WMT0.7% · +2%META0.7% · +14%PDBC0.6% · +6%IEMG0.6% · +27%QQQ0.6% · -6%BKAG0.6% · +5%VZ0.6% · +2%CRUX0.5% · newMRK0.5% · +1%SLF0.5% · +0%MA0.5% · +11%HD0.5% · +12%SPCX0.4% · newCOST0.4% · +10%GE0.4% · -15%NEE0.4% · +10%ORCL0.4% · +6%MUB0.4% · -2%AMD0.4% · -6%CMI0.4% · +6%
Box size = position value; colour = change in share count vs the prior quarter (green added, red trimmed, blue new). Rows split across managers or share classes are combined. Click a box for the stock.
Sector mix
% of 13F valueSectors from each company's SIC code; funds and ETFs grouped separately.
Biggest buys and sells
Q1 26 → Q2 26Estimated from the change in shares held × the quarter-end price, so price moves alone don't count as buying. New and exited positions are included.
13F assets and positions
3 quartersTotal reported 13F value (bars) and number of positions (line) each quarter. Value changes include market moves.
Top positions over time
reported valueThe eight largest current positions, valued at each quarter end.
Concentration
top 10 = 29.8%Cumulative share of the portfolio held in the largest N positions.
Firm Profile & Key People
As of the firm’s regulatory filing dated Dec 11, 2020.
Assets Under Management
$16.24B
Discretionary
$16.24B
Employees
99
Accounts
46
Address
555 CALIFORNIA STREET
SUITE 3100
SAN FRANCISCO, CA 94104-1534
SUITE 3100
SAN FRANCISCO, CA 94104-1534
Phone
(415) 676-4000
This firm reports 2 disclosure items on its registration.
| Name | Title / Status | Ownership | Type |
|---|---|---|---|
| NUVEEN INVESTMENTS HOLDINGS, INC. Control | MANAGING MEMBER since Jul 2001 | 25–50% | Domestic Entity |
| NUVEEN INVESTMENTS, INC. Control | MEMBER since Jul 2001 | 50–75% | Domestic Entity |
| GRACE, SCOTT, STEWART | BUSINESS HEAD since Mar 2019 | Less than 5% | Individual |
| MACDONALD, JUDITH, R | GENERAL COUNSEL since Feb 2013 | Less than 5% | Individual |
| MOORE, GEOFFREY, WILLIAM | CHIEF COMPLIANCE OFFICER since Oct 2019 | Less than 5% | Individual |
| NUVEEN FINANCE, LLC Control Indirect owner via NUVEEN HOLDINGS 1, INC. | SHAREHOLDER since Jan 2017 | 75% or more | Domestic Entity |
| NUVEEN HOLDINGS 1, INC. Control Indirect owner via NUVEEN HOLDINGS, INC. | SHAREHOLDER since Jan 2017 | 75% or more | Domestic Entity |
| NUVEEN HOLDINGS, INC. Control Indirect owner via NUVEEN INVESTMENTS, INC. | SHAREHOLDER since Nov 2007 | 75% or more | Domestic Entity |
| NUVEEN INVESTMENTS, INC. Control Indirect owner via NUVEEN INVESTMENTS HOLDINGS, INC. | SHAREHOLDER since Jul 2001 | 75% or more | Domestic Entity |
| NUVEEN, LLC Control Indirect owner via NUVEEN FINANCE, LLC | MEMBER since Oct 2014 | 75% or more | Domestic Entity |
| TEACHERS INSURANCE AND ANNUITY ASSOCIATION OF AMERICA Control Indirect owner via NUVEEN, LLC | MEMBER since Oct 2014 | 75% or more | Domestic Entity |
| TIAA BOARD OF OVERSEERS Control Indirect owner via TEACHERS INSURANCE AND ANNUITY ASSOCIATION OF AMERICA | SHAREHOLDER since Oct 2014 | 75% or more | Domestic Entity |
Ownership & leadership changes · 15 filings with changes since Mar 30, 2012
From the firm’s regulatory filings, newest first. Dates are filing dates: a filing that no longer lists someone does not say when they left.
Jul 30, 2020 filing
- No longer listedMCKILLEN, ANGELA, MARIE · CHIEF FINANCIAL OFFICER · Less than 5% · listed since Sep 2009
Oct 30, 2019 filing
- AddedMOORE, GEOFFREY, WILLIAM · CHIEF COMPLIANCE OFFICER · Less than 5%
- ChangedMACDONALD, JUDITH, R · title CHIEF COMPLIANCE OFFICER / GENERAL COUNSEL → GENERAL COUNSEL
Mar 29, 2019 filing
- AddedGRACE, SCOTT, STEWART · BUSINESS HEAD · Less than 5%
Jan 4, 2019 filing
- No longer listedPOPKIN, ANNE, BRANDEIS · PRESIDENT · Less than 5% · control person · listed since Jul 2010
Dec 7, 2018 filing
- No longer listedCHEN, AMY, ELIZABETH · CHIEF COMPLIANCE OFFICER · Less than 5% · listed since Apr 2017
- ChangedMACDONALD, JUDITH, R · title GENERAL COUNSEL → CHIEF COMPLIANCE OFFICER / GENERAL COUNSEL
Oct 1, 2018 filing
- No longer listedSTEIN, GUNTHER, MAURICE · CHIEF INVESTMENT OFFICER AND CHIEF EXECUTIVE OFFICER · Less than 5% · control person · listed since Jul 2009
Mar 29, 2018 filing
- No longer listedGOLDSTEIN, DAVID, CRAIG · CHIEF OPERATING OFFICER · Less than 5% · listed since Sep 2009
Mar 30, 2017 filing
- No longer listedTEACHERS INSURANCE AND ANNUITY ASSOCIATION OF AMERICA · MEMBER · 75% or more · indirect via TIAA GLOBAL ASSET MANAGEMENT, LLC · control person · listed since Oct 2014
- No longer listedTIAA ASSET MANAGEMENT FINANCE COMPANY, LLC · SHAREHOLDER · 75% or more · indirect via NUVEEN HOLDINGS, INC. · control person · listed since Oct 2014
- No longer listedTIAA GLOBAL ASSET MANAGEMENT, LLC · MEMBER · 75% or more · indirect via TIAA ASSET MANAGEMENT FINANCE COMPANY, LLC · control person · listed since Oct 2014
- AddedCHEN, AMY, ELIZABETH · CHIEF COMPLIANCE OFFICER · Less than 5%
- AddedNUVEEN FINANCE, LLC · SHAREHOLDER · 75% or more · indirect via NUVEEN HOLDINGS 1, INC. · control person
- AddedNUVEEN HOLDINGS 1, INC. · SHAREHOLDER · 75% or more · indirect via NUVEEN HOLDINGS, INC. · control person
- AddedNUVEEN, LLC · MEMBER · 75% or more · indirect via NUVEEN FINANCE, LLC · control person
- AddedTEACHERS INSURANCE AND ANNUITY ASSOCIATION OF AMERICA · MEMBER · 75% or more · indirect via NUVEEN, LLC · control person
- ChangedMACDONALD, JUDITH, R · title CHIEF COMPLIANCE OFFICER → GENERAL COUNSEL
Mar 30, 2016 filing
- No longer listedTEACHERS INSURANCE AND ANNUITY ASSOCIATION OF AMERICA · MEMBER · 75% or more · indirect via TIAA ASSET MANAGEMENT, LLC · control person · listed since Oct 2014
- No longer listedTIAA ASSET MANAGEMENT, LLC · MEMBER · 75% or more · indirect via TIAA ASSET MANAGEMENT FINANCE COMPANY, LLC · control person · listed since Oct 2014
- AddedTEACHERS INSURANCE AND ANNUITY ASSOCIATION OF AMERICA · MEMBER · 75% or more · indirect via TIAA GLOBAL ASSET MANAGEMENT, LLC · control person
- AddedTIAA GLOBAL ASSET MANAGEMENT, LLC · MEMBER · 75% or more · indirect via TIAA ASSET MANAGEMENT FINANCE COMPANY, LLC · control person
Mar 31, 2015 filing
- No longer listedWINDY CITY INVESTMENTS, INC. · SHAREHOLDER · 75% or more · indirect via NUVEEN INVESTMENTS, INC. · control person · listed since Nov 2007
- AddedNUVEEN HOLDINGS, INC. · SHAREHOLDER · 75% or more · indirect via NUVEEN INVESTMENTS, INC. · control person
Older changes (6 more filings)
Nov 5, 2014 filing
- No longer listedTAM FINANCE COMPANY, LLC · SHAREHOLDER · 75% or more · indirect via WINDY CITY INVESTMENTS, INC. · control person · listed since Oct 2014
- No longer listedTIAA ASSET MANAGEMENT, LLC · MEMBER · 75% or more · indirect via TAM FINANCE COMPANY, LLC · control person · listed since Oct 2014
- AddedTIAA ASSET MANAGEMENT FINANCE COMPANY, LLC · SHAREHOLDER · 75% or more · indirect via NUVEEN HOLDINGS, INC. · control person
- AddedTIAA ASSET MANAGEMENT, LLC · MEMBER · 75% or more · indirect via TIAA ASSET MANAGEMENT FINANCE COMPANY, LLC · control person
Oct 3, 2014 filing
- No longer listedMADISON DEARBORN PARTNERS · GENERAL PARTNER · General partner, trustee or manager · indirect via MADISON DEARBORN PARTNERS V-A&C, L.P. · control person · listed since Nov 2007
- No longer listedMADISON DEARBORN PARTNERS V-A&C, L.P. · MANAGER & GP OF OTHER MANAGERS · General partner, trustee or manager · indirect via MDCP HOLDCO (WINDY), LLC · control person · listed since Nov 2007
- No longer listedMDCP HOLDCO (WINDY), LLC · MEMBER · 25–50% · indirect via WINDY CITY INVESTMENTS HOLDINGS, LLC · control person · listed since Nov 2007
- No longer listedWINDY CITY INVESTMENTS HOLDINGS, LLC · OWNER · 75% or more · indirect via WINDY CITY INVESTMENTS, INC. · control person · listed since Nov 2007
- AddedTAM FINANCE COMPANY, LLC · SHAREHOLDER · 75% or more · indirect via WINDY CITY INVESTMENTS, INC. · control person
- AddedTEACHERS INSURANCE AND ANNUITY ASSOCIATION OF AMERICA · MEMBER · 75% or more · indirect via TIAA ASSET MANAGEMENT, LLC · control person
- AddedTIAA ASSET MANAGEMENT, LLC · MEMBER · 75% or more · indirect via TAM FINANCE COMPANY, LLC · control person
- AddedTIAA BOARD OF OVERSEERS · SHAREHOLDER · 75% or more · indirect via TEACHERS INSURANCE AND ANNUITY ASSOCIATION OF AMERICA · control person
- ChangedNUVEEN INVESTMENTS, INC. · indirect via NUVEEN INVESTMENTS HOLDINGS, INC.: title OWNER → SHAREHOLDER
- ChangedWINDY CITY INVESTMENTS, INC. · indirect via NUVEEN INVESTMENTS, INC.: title OWNER → SHAREHOLDER
Mar 31, 2014 filing
- ChangedMDCP HOLDCO (WINDY), LLC · indirect via WINDY CITY INVESTMENTS HOLDINGS, LLC: title MEMBER MAJORITY MANAGER → MEMBER
Mar 28, 2013 filing
- AddedMADISON DEARBORN PARTNERS · GENERAL PARTNER · General partner, trustee or manager · indirect via MADISON DEARBORN PARTNERS V-A&C, L.P. · control person
Feb 19, 2013 filing
- No longer listedKEEFE, MARY, ELIZABETH · CHIEF COMPLIANCE OFFICER · Less than 5% · listed since Oct 2004
- AddedMACDONALD, JUDITH, R · CHIEF COMPLIANCE OFFICER · Less than 5%
Mar 30, 2012 filing (earliest on record)
- ListedGOLDSTEIN, DAVID, CRAIG · CHIEF OPERATING OFFICER · Less than 5%
- ListedKEEFE, MARY, ELIZABETH · CHIEF COMPLIANCE OFFICER · Less than 5%
- ListedMADISON DEARBORN PARTNERS V-A&C, L.P. · MANAGER & GP OF OTHER MANAGERS · General partner, trustee or manager · indirect via MDCP HOLDCO (WINDY), LLC · control person
- ListedMCKILLEN, ANGELA, MARIE · CHIEF FINANCIAL OFFICER · Less than 5%
- ListedMDCP HOLDCO (WINDY), LLC · MEMBER MAJORITY MANAGER · 25–50% · indirect via WINDY CITY INVESTMENTS HOLDINGS, LLC · control person
- ListedNUVEEN INVESTMENTS HOLDINGS, INC. · MANAGING MEMBER · 25–50% · control person
- ListedNUVEEN INVESTMENTS, INC. · OWNER · 75% or more · indirect via NUVEEN INVESTMENTS HOLDINGS, INC. · control person
- ListedNUVEEN INVESTMENTS, INC. · MEMBER · 50–75% · control person
- ListedPOPKIN, ANNE, BRANDEIS · PRESIDENT · Less than 5% · control person
- ListedSTEIN, GUNTHER, MAURICE · CHIEF INVESTMENT OFFICER AND CHIEF EXECUTIVE OFFICER · Less than 5% · control person
- ListedWINDY CITY INVESTMENTS HOLDINGS, LLC · OWNER · 75% or more · indirect via WINDY CITY INVESTMENTS, INC. · control person
- ListedWINDY CITY INVESTMENTS, INC. · OWNER · 75% or more · indirect via NUVEEN INVESTMENTS, INC. · control person
Quarter-over-quarter changes
Changes in reported position value vs the prior 13F, so price moves count too, not just shares bought or sold.
Top Adds (vs prior quarter)
- STATE STR SPDR S&P 500 ETF T$10.4M +86.2%
- NVIDIA CORPORATION$7.9M +25.3%
- SPDR SERIES TRUST$7.1M +19.0%
- SPDR SERIES TRUST$6.6M +24.8%
- MICRON TECHNOLOGY INC$4.9M +268.1%
Top Trims
- SPDR GOLD TR-$7.9M -46.3%
- EXXON MOBIL CORP-$3.9M -30.7%
- GOLDMAN SACHS ETF TR-$2.1M -70.8%
- CHEVRON CORPORATION-$872.7K -21.3%
- BNY MELLON ETF TRUST-$785.2K -19.5%
New Positions
- COLUMBIA ETF TR I$4.7M
- SPACE EXPLORATION TECHN CORP$4.1M
- ISHARES TR$3.0M
- VANGUARD INDEX FDS$979.5K
- DELL TECHNOLOGIES INC$759.3K
Exited Positions
- ISHARES TR$2.6M
- BLUE OWL CAPITAL INC$493.1K
- DANAHER CORP DEL$372.1K
- INVESCO EXCHANGE TRADED FD T$346.3K
- REGENERON PHARMACEUTICALS$311.8K
Symphony Financial, Ltd. Co. Holdings (2026-06-30)
Rows tagged Call or Put are options positions, not stock. Per SEC Form 13F-HR, Value shows the notional value of the underlying (shares covered × underlying price), not the option premium. Shares is the number of underlying shares covered (divide by 100 for contract count).
| # | Issuer | Symbol | CUSIP | Value | Weight | Shares | Type |
|---|---|---|---|---|---|---|---|
| 1 | SPDR SERIES TRUST | SPTM | 78464A805 | $44.6M | 4.88% | 495,226 | SH |
| 2 | NVIDIA CORPORATION | NVDA | 67066G104 | $39.1M | 4.28% | 200,102 | SH |
| 3 | SPDR SERIES TRUST | SPYG | 78464A409 | $33.0M | 3.61% | 280,638 | SH |
| 4 | AMERICAN CENTY ETF TR | AVDE | 025072703 | $29.9M | 3.27% | 335,841 | SH |
| 5 | APPLE INC | AAPL | 037833100 | $23.3M | 2.55% | 82,235 | SH |
| 6 | STATE STR SPDR S&P 500 ETF T | SPY | 78462F103 | $22.5M | 2.46% | 30,254 | SH |
| 7 | PGIM ETF TR | PULS | 69344A107 | $21.6M | 2.36% | 435,076 | SH |
| 8 | AMAZON COM INC | AMZN | 023135106 | $21.3M | 2.33% | 88,652 | SH |
| 9 | MICROSOFT CORP | MSFT | 594918104 | $19.0M | 2.08% | 51,587 | SH |
| 10 | SPDR SERIES TRUST | SPYV | 78464A508 | $18.0M | 1.97% | 295,932 | SH |
| 11 | AMERICAN CENTY ETF TR | AVUV | 025072877 | $17.5M | 1.91% | 140,354 | SH |
| 12 | SPDR SERIES TRUST | SPIB | 78464A375 | $17.3M | 1.89% | 515,982 | SH |
| 13 | ALPHABET INC | GOOGL | 02079K305 | $16.5M | 1.81% | 46,676 | SH |
| 14 | AMERICAN CENTY ETF TR | AVEM | 025072604 | $16.2M | 1.77% | 169,802 | SH |
| 15 | ISHARES TR | IWM | 464287655 | $15.1M | 1.65% | 50,384 | SH |
| 16 | INVESCO EXCHANGE TRADED FD T | SPHQ | 46137V241 | $13.7M | 1.50% | 153,926 | SH |
| 17 | VANGUARD INDEX FDS | VTI | 922908769 | $13.5M | 1.48% | 36,664 | SH |
| 18 | ISHARES TR | IVV | 464287200 | $13.4M | 1.47% | 17,999 | SH |
| 19 | BROADCOM INC | AVGO | 11135F101 | $13.1M | 1.44% | 35,188 | SH |
| 20 | ISHARES TR | IEFA | 46432F842 | $11.5M | 1.26% | 119,393 | SH |
| 21 | ALPHABET INC | GOOG | 02079K107 | $11.4M | 1.25% | 32,387 | SH |
| 22 | J P MORGAN EXCHANGE TRADED F | JPST | 46641Q837 | $10.9M | 1.19% | 214,738 | SH |
| 23 | JOHNSON & JOHNSON | JNJ | 478160104 | $10.9M | 1.19% | 42,065 | SH |
| 24 | ISHARES TR | IGF | 464288372 | $10.6M | 1.16% | 158,025 | SH |
| 25 | VANECK ETF TRUST | ANGL | 92189F437 | $9.5M | 1.04% | 325,749 | SH |
| 26 | SPDR GOLD TR | GLD | 78463V107 | $9.1M | 1.00% | 24,784 | SH |
| 27 | EXXON MOBIL CORP | XOM | 30231G102 | $8.8M | 0.96% | 64,807 | SH |
| 28 | ISHARES TR | IUSV | 464287663 | $8.4M | 0.92% | 76,013 | SH |
| 29 | SPDR SERIES TRUST | SLYV | 78464A300 | $8.2M | 0.90% | 75,656 | SH |
| 30 | ELI LILLY & CO | LLY | 532457108 | $8.1M | 0.88% | 6,597 | SH |
| 31 | JPMORGAN CHASE & CO | JPM | 46625H100 | $8.0M | 0.88% | 24,316 | SH |
| 32 | VANGUARD SCOTTSDALE FDS | VONV | 92206C714 | $7.9M | 0.87% | 74,495 | SH |
| 33 | TESLA INC | TSLA | 88160R101 | $7.4M | 0.81% | 17,879 | SH |
| 34 | VISA INC | V | 92826C839 | $7.4M | 0.80% | 21,517 | SH |
| 35 | ISHARES TR | QUAL | 46432F339 | $7.3M | 0.80% | 33,629 | SH |
| 36 | BERKSHIRE HATHAWAY INC DEL | BRK.B | 084670702 | $7.1M | 0.78% | 14,402 | SH |
| 37 | MICRON TECHNOLOGY INC | MU | 595112103 | $6.7M | 0.73% | 5,839 | SH |
| 38 | ABBVIE INC | ABBV | 00287Y109 | $6.6M | 0.73% | 26,093 | SH |
| 39 | SPDR INDEX SHS FDS | SPDW | 78463X889 | $6.6M | 0.72% | 131,460 | SH |
| 40 | ALTRIA GROUP INC | MO | 02209S103 | $6.5M | 0.71% | 87,957 | SH |
| 41 | WALMART INC | WMT | 931142103 | $6.2M | 0.68% | 54,586 | SH |
| 42 | META PLATFORMS INC | META | 30303M102 | $6.0M | 0.66% | 10,717 | SH |
| 43 | INVESCO ACTVELY MNGD ETC FD | PDBC | 46090F100 | $5.5M | 0.60% | 348,829 | SH |
| 44 | ISHARES INC | IEMG | 46434G103 | $5.4M | 0.59% | 65,370 | SH |
| 45 | INVESCO QQQ TR | QQQ | 46090E103 | $5.2M | 0.57% | 7,054 | SH |
| 46 | BNY MELLON ETF TRUST | BKAG | 09661T602 | $5.1M | 0.56% | 121,552 | SH |
| 47 | VERIZON COMMUNICATIONS INC | VZ | 92343V104 | $5.1M | 0.56% | 116,114 | SH |
| 48 | COLUMBIA ETF TR I | CRUX | 19761L748 | $4.7M | 0.51% | 155,339 | SH |
| 49 | MERCK & CO INC | MRK | 58933Y105 | $4.6M | 0.50% | 35,684 | SH |
| 50 | SUN LIFE FINANCIAL INC. | SLF | 866796105 | $4.6M | 0.50% | 58,466 | SH |
Filing History
| Period | Filed | AUM | Holdings | Accession |
|---|---|---|---|---|
| 2026-06-30 | 2026-08-04 | $914.3M | 371 | 0001754960-26-000681 |
| 2026-03-31 | 2026-05-01 | $755.0M | 315 | 0001754960-26-000348 |
| 2025-12-31 | 2026-02-11 | $744.5M | 286 | 0001754960-26-000167 |
Filer Information
Address
4295 SAN FELIPE STREETSUITE 300
HOUSTON, TX 77027
Phone
(281) 272-6800
Filing Manager
Symphony Financial, Ltd. Co.
HOUSTON, TX
Signatory
Aryn Sands
Agent