DFX Intelligence

Data Factory

RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

SALING, SIMMS, ASSOCIATES INC.

CRD 119810

COLUMBUS, OH

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:7409fefd-d03c-dc1f-0eea-11aabb7aecd9

Data as of Mar 29, 2024 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 5:58 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 5
On other graphs: 0
Observed: Mar 30, 2012 to Mar 29, 2024
20 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $297MItem 5.F on the latest filing (2024-03-29); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $166M
Private client RAUM: $162MderivedItem 5.D individuals plus high net worth individuals
Private client share: 55%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 6
Advisory employees: 4
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 1,152
Individual clients: 388
High net worth clients: 64
SEC number: 801-80114
CRD: 119810
Filings on the tape: 20
First filed: Mar 30, 2012
Latest filed: Mar 29, 2024
Organised: Corporation, Ohio

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
SALING, JAMES, ALAN	INVESTMENT ADVISOR/CHIEF EXECUTIVE OFFICER/CHIEF FINANCIAL OFFICER	E	yes	08/2000	Mar 30, 2012	Mar 29, 2024
SIMMS, BRENT, RALPH	INVESTMENT ADVISOR/CHIEF COMPLIANCE OFFICER/CHIEF OPERATIONS OFFICER	C	yes	08/2000	Mar 30, 2012	Mar 29, 2024

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
BRENT R SIMMS	n/a	n/a	n/a	Y	yes	n/a
JAMES A SALING	n/a	n/a	n/a	Y	yes	n/a
PEGGY N SLAUGHTER	n/a	n/a	n/a	Y	yes	n/a

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2023	Mar 29, 2024	$297M	$166M	6	4	0	n/a	n/a
2022	Mar 30, 2023	$263M	$126M	6	3	0	n/a	n/a
2021	Mar 31, 2022	$348M	$140M	6	3	0	n/a	n/a
2020	Mar 15, 2021	$281M	$141M	6	3	0	n/a	n/a
2019	Jun 30, 2020	$249M	$114M	6	4	0	n/a	n/a
2018	Mar 30, 2019	$139M	$91.8M	6	3	0	n/a	n/a
2017	Mar 31, 2018	$150M	$96.4M	6	3	0	n/a	n/a
2016	Mar 31, 2017	$138M	$91.5M	6	3	n/a	n/a	n/a
2015	Apr 1, 2016	$120M	$79.7M	8	3	n/a	n/a	n/a
2014	Mar 30, 2015	$130M	$88.3M	8	4	n/a	n/a	n/a
2011	Mar 30, 2012	$60.8M	$56.8M	n/a	n/a	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2023	$297M	$263M	12.9%	$281M	1.8%	6	6	0	0

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
STEWARD PARTNERS INVESTMENT ADVISORY, LLC	2	Dec 31, 2024	Mar 22, 2024	COLUMBUS, OH	Team lift out	RIA to ibd	100.0%

Relationships

Controls (2)

← SALING, JAMES, ALANOwnerINVESTMENT ADVISOR/CHIEF EXECUTIVE OFFICER/CHIEF FINANCIAL OFFICER, ownership code E, individual
Mar 30, 2012 to presentfactForm ADV
← SIMMS, BRENT, RALPHOwnerINVESTMENT ADVISOR/CHIEF COMPLIANCE OFFICER/CHIEF OPERATIONS OFFICER, ownership code C, individual
Mar 30, 2012 to presentfactForm ADV

Registered with (2)

← Mark Christopher GuenardAdvisorregistration: previous registration
Aug 4, 2023 to Dec 31, 2024factForm ADV
← PEGGY NELL SLAUGHTERAdvisorregistration: previous registration
Apr 1, 2014 to Dec 31, 2024factForm ADV

Moved with (1)

→ STEWARD PARTNERS INVESTMENT ADVISORY, LLCRegistered adviser2 advisors, team lift out, same day
Dec 31, 2024 to Mar 22, 2024factForm ADV

Dated events

Occurred
Dec 31, 2024
Team lift-out
2 advisors left Saling, Simms, Associates Inc. (Columbus, OH) for Steward Partners Investment Advisory, LLC on the same day
Form ADVobserved 4 days ago
2 advisors
Occurred
Dec 31, 2024
Advisor changed firm
Mark Christopher Guenard left Saling, Simms, Associates Inc. for Steward Partners Investment Advisory, Llc (registered 2024-03-15)
Form ADVobserved 5 days ago
Occurred
Dec 31, 2024
Advisor changed firm
Peggy Nell Slaughter left Saling, Simms, Associates Inc. for Steward Partners Investment Advisory, Llc (registered 2024-03-22)
Form ADVobserved 5 days ago
Occurred
Jun 30, 2020
Regulatory AUM changed
Saling, Simms, Associates Inc. reported RAUM $249.2M, up 80% from $138.6M (2019-03-30 to 2020-06-30)
Form ADVobserved 5 days ago
$111M
Occurred
Jul 17, 2014
First Form ADV filing
Saling, Simms, Associates Inc. filed its initial SEC registration (Form ADV)
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:7409fefd-d03c-dc1f-0eea-11aabb7aecd9
First observed: Mar 30, 2012
Last observed: Mar 29, 2024 30 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

SALING, SIMMS, ASSOCIATES INC.

CRD 119810

COLUMBUS, OH

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:7409fefd-d03c-dc1f-0eea-11aabb7aecd9

Data as of Mar 29, 2024 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 5:58 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

SALING, JAMES, ALAN

INVESTMENT ADVISOR/CHIEF EXECUTIVE OFFICER/CHIEF FINANCIAL OFFICER

yes

08/2000

Mar 30, 2012

Mar 29, 2024

SIMMS, BRENT, RALPH

INVESTMENT ADVISOR/CHIEF COMPLIANCE OFFICER/CHIEF OPERATIONS OFFICER

yes

08/2000

Mar 30, 2012

Mar 29, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

BRENT R SIMMS

n/a

yes

n/a

JAMES A SALING

n/a

yes

n/a

PEGGY N SLAUGHTER

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2023

Mar 29, 2024

$297M

$166M

n/a

2022

Mar 30, 2023

$263M

$126M

n/a

2021

Mar 31, 2022

$348M

$140M

n/a

2020

Mar 15, 2021

$281M

$141M

n/a

2019

Jun 30, 2020

$249M

$114M

n/a

2018

Mar 30, 2019

$139M

$91.8M

n/a

2017

Mar 31, 2018

$150M

$96.4M

n/a

2016

Mar 31, 2017

$138M

$91.5M

n/a

2015

Apr 1, 2016

$120M

$79.7M

n/a

2014

Mar 30, 2015

$130M

$88.3M

n/a

2011

Mar 30, 2012

$60.8M

$56.8M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2023

$297M

$263M

12.9%

$281M

1.8%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

STEWARD PARTNERS INVESTMENT ADVISORY, LLC

Dec 31, 2024

Mar 22, 2024

COLUMBUS, OH

Team lift out

RIA to ibd

100.0%