DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Former SEC-registered adviser

Saling, Simms, Associates Inc.

Former SEC-registered adviserColumbus, OhioCRD 119810SEC 801-80114IAPD
Latest filing Mar 29, 2024
First filing on the tape Mar 30, 2012 · 20 filings
RAUM
$297M
reported, Item 5.F
Discretionary
56%
of RAUM
Private clients
55%
$162M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$297M as of Mar 29, 2024
Mar 30, 2012$60.8M then
HNW client RAUM$98.0M as of Mar 29, 2024
Mar 31, 2018$33.1M then
State-registered IARs (5.B.3)4 as of Mar 29, 2024
Mar 30, 20120 then
Employees (5.A)6 as of Mar 29, 2024
Mar 30, 20158 then
Private funds: no history
RAUM +13% over the last fiscal year+1.8% a year over threeIARs 3 to 4
Practice profile
derived from the filing of Mar 29, 2024; every figure names its basis
RAUM per advisor
$74.2MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
113derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.5MderivedHNW RAUM over HNW clients
Average account
$257,584derivedRAUM over accounts (5.F.2.f)
Discretionary
56%derivedof RAUM
Institutional
1.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
4.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+13%derivedbetween the last two annual amendments
Advisor growth, one year
+33%derivedItem 5.B.3 between annual amendments
Client growth, one year
-3.2%derived
Compensation
percentage of assets, hourly, fixed fees, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, selection of other advisers, educational seminarsreportedItem 5.G
Wrap fee program
$312MreportedItem 5.I
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • is an insurance broker or agent (6.A.6)
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$98.0M58%
  • Individuals$64.0M38%
  • Pension and profit-sharing plans$5.7M3.4%
Individual clients
388reported
HNW clients
64reported
Pension plan clients
6reported
Charitable clients
n/areported
Accounts
1,152reported
Financial planning clients
251-500reported
Wrap fee programs
$168M sponsored, $144M managedreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Alan James Saling · Investment Advisor/Chief Executive Officer/Chief Financial Officercontrol
      since 08/2000 · owns 75% or more
    • Ralph Brent Simms · Investment Advisor/Chief Compliance Officer/Chief Operations Officercontrol
      since 08/2000 · owns 25% to 50%
    Related persons
    Schedule D 7.A
    • Brent R Simms
      real estatey
    • James A Saling
      real estatey
    • Peggy N Slaughter
      real estatey
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Columbus, Oh · principal000
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 1,093 to 1,152
      Mar 30, 2023 to Mar 29, 2024
    • Advisory employees · 3 to 4
      Mar 30, 2023 to Mar 29, 2024
    • Charity clients · 1.0 to unset
      Mar 30, 2023 to Mar 29, 2024
    • HNW clients · 71 to 64
      Mar 30, 2023 to Mar 29, 2024
    • Individual clients · 396 to 388
      Mar 30, 2023 to Mar 29, 2024
    • Pension plan clients · 10 to 6
      Mar 30, 2023 to Mar 29, 2024
    • State-registered IARs · 3 to 4
      Mar 30, 2023 to Mar 29, 2024
    • Discretionary RAUM · $126M to $166M
      Mar 30, 2023 to Mar 29, 2024
    • HNW RAUM · $108M to $98.0M
      Mar 30, 2023 to Mar 29, 2024
    • Individual RAUM · $39.7M to $64.0M
      Mar 30, 2023 to Mar 29, 2024
    • Non-discretionary RAUM · $136M to $131M
      Mar 30, 2023 to Mar 29, 2024
    • Pension RAUM · $7.8M to $5.7M
      Mar 30, 2023 to Mar 29, 2024
    • RAUM · $263M to $297M
      Mar 30, 2023 to Mar 29, 2024
    • Wrap assets (manager) · $0 to $144M
      Mar 30, 2023 to Mar 29, 2024
    • Wrap assets (sponsor) · $0 to $168M
      Mar 30, 2023 to Mar 29, 2024
    • Accounts · 1,016 to 1,093
      Mar 31, 2022 to Mar 30, 2023
    • Advisory activities · 6 to 5
      Mar 31, 2022 to Mar 30, 2023
    • Charity clients · unset to 1.0
      Mar 31, 2022 to Mar 30, 2023
    • HNW clients · 355 to 71
      Mar 31, 2022 to Mar 30, 2023
    • Individual clients · 110 to 396
      Mar 31, 2022 to Mar 30, 2023
    • Pension plan clients · 7 to 10
      Mar 31, 2022 to Mar 30, 2023
    • Discretionary RAUM · $140M to $126M
      Mar 31, 2022 to Mar 30, 2023
    • HNW RAUM · $53.4M to $108M
      Mar 31, 2022 to Mar 30, 2023
    • Individual RAUM · $134M to $39.7M
      Mar 31, 2022 to Mar 30, 2023
    • Non-discretionary RAUM · $208M to $136M
      Mar 31, 2022 to Mar 30, 2023
    • Pension RAUM · $3.1M to $7.8M
      Mar 31, 2022 to Mar 30, 2023
    • RAUM · $348M to $263M
      Mar 31, 2022 to Mar 30, 2023
    • Accounts · 700 to 1,016
      Mar 19, 2021 to Mar 31, 2022
    • HNW clients · 45 to 355
      Mar 19, 2021 to Mar 31, 2022
    • Individual clients · 245 to 110
      Mar 19, 2021 to Mar 31, 2022
    • Pension plan clients · 5 to 7
      Mar 19, 2021 to Mar 31, 2022
    • Discretionary RAUM · $141M to $140M
      Mar 19, 2021 to Mar 31, 2022
    • HNW RAUM · $67.8M to $53.4M
      Mar 19, 2021 to Mar 31, 2022
    • Individual RAUM · $68.2M to $134M
      Mar 19, 2021 to Mar 31, 2022
    • Non-discretionary RAUM · $140M to $208M
      Mar 19, 2021 to Mar 31, 2022
    • Pension RAUM · $3.1M to $3.1M
      Mar 19, 2021 to Mar 31, 2022
    • RAUM · $281M to $348M
      Mar 19, 2021 to Mar 31, 2022
    • Related broker-dealer · true to false
      Mar 19, 2021 to Mar 31, 2022
    • Wrap assets (manager) · unset to 0.0
      Mar 19, 2021 to Mar 31, 2022
    • Wrap assets (sponsor) · unset to 0.0
      Mar 19, 2021 to Mar 31, 2022
    Signals
    5 dated events
    • Mark Christopher Guenard left Saling, Simms, Associates Inc. for Steward Partners Investment Advisory, Llc (registered 2024-03-15)
      Dec 31, 2024 · Advisor changed firm · fact
    • Peggy Nell Slaughter left Saling, Simms, Associates Inc. for Steward Partners Investment Advisory, Llc (registered 2024-03-22)
      Dec 31, 2024 · Advisor changed firm · fact
    • 2 advisors left Saling, Simms, Associates Inc. (Columbus, OH) for Steward Partners Investment Advisory, LLC on the same day
      Dec 31, 2024 · Team lift-out · derived
    • Saling, Simms, Associates Inc. reported RAUM $249.2M, up 80% from $138.6M (2019-03-30 to 2020-06-30)
      Jun 30, 2020 · RAUM change · derived
    • Saling, Simms, Associates Inc. filed its initial SEC registration (Form ADV)
      Jul 17, 2014 · First SEC registration · fact
    Across DFX
    shared identifiers only, never a name match
    No identifier-backed link to the venture, private equity, family office or sponsor graphs.
    Provenance
    Form ADV
    SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
    Advisors
    IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
    Class
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026