SALING, SIMMS, ASSOCIATES INC.
Adviser information for SALING, SIMMS, ASSOCIATES INC. last updated from Form ADV on March 29th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Ohio, United States |
Employees
| Total Number of Employees | 6 |
|---|---|
| Investment Advisory/Research | 4 |
| Registered Broker-Dealer Representatives | 3 |
| Registered State Investment Advisers | 4 |
| Licensed Agents of an Insurance Company | 4 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 1,079 | $165.8M |
| Non-Discretionary | 73 | $130.9M |
| Total | 1,152 | $296.7M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 388 | $64.0M |
| HNW Individuals | 64 | $98.0M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 6 | $5.7M |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 51 | $129.1M |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 25 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 251-500 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPension consulting servicesSelection of other advisers (including private fund managers)Educational seminars/workshops |
|---|---|
| Compensation | % of AUMHourly chargesFixed feesTHIRD PARTY ADVISOR/MANAGER FEES |
| Other Business Activities | Registered representative of a broker-dealerInsurance broker or agent |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 167.6M |
| Portfolio Manager | 144.5M |
| Both for Same | 144.5M |
| Portfolio Manager to Program | Sponsor |
|---|---|
| SALING SIMMS ASSOCIATES ADVISORY PROGRAM | SALING, SIMMS, ASSOCIATES INC. |
Identifiers
| SEC RIA File Number | 801-80114 |
|---|---|
| SEC ERA File Number | 801-80114 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 119810 |
| Legal Entity Identifier | None |
Principal Office
7965 N. HIGH ST. SUITE 130COLUMBUS
OH
United States
Monday - Friday, 8:30 - 5:00
Tel: 614-841-1881, Fax: 614-841-1013
Chief Compliance Officer
BRENT SIMMS
INVESTMENT ADVISOR
7965 N. HIGH STREET
COLUMBUS
OH
United States
Tel:
614-841-1881
Fax:
614-841-1013
B**********@**************M
(Full email address available in API data)
Regulatory Contact
JAMES SALING
INVESTMENT ADVISOR
7965 N. HIGH ST. SUITE 130
COLUMBUS
OH
United States
Tel:
614-841-1881
Fax:
614-841-1013
J***********@**************M
(Full email address available in API data)
Industry Affiliates
| BRENT R SIMMS | Insurance company or agency |
| JAMES A SALING | Insurance company or agency |
| PEGGY N SLAUGHTER | Insurance company or agency |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| SALING, JAMES, ALAN | Individual | – | INVESTMENT ADVISOR/CHIEF EXECUTIVE OFFICER/CHIEF FINANCIAL OFFICER | 08/2000 | > 75% |
| SIMMS, BRENT, RALPH | Individual | – | INVESTMENT ADVISOR/CHIEF COMPLIANCE OFFICER/CHIEF OPERATIONS OFFICER | 08/2000 | 25-50% |