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.
SEC-registered adviser
Sims Investment Management LLC
Latest filing Aug 13, 2026
First filing on the tape Dec 13, 2021 · 21 filings
SEC status approved since Jan 13, 2022
RAUM
$305M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
98%
$299M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$50.8M
derived; firm RAUM over IAPD count
Employees
12
6 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$305M as of Aug 13, 2026
Mar 16, 2022$147M then
HNW client RAUM$188M as of Aug 13, 2026
Mar 16, 2022$76.2M then
State-registered IARs (5.B.3)6 as of Aug 13, 2026
Mar 16, 20223 then
Employees (5.A)12 as of Aug 13, 2026
Mar 16, 20224 then
Private funds: no history
RAUM +24% over the last fiscal year+30% a year over threeIARs 4 to 6offices 2 to 1
Practice profile
derived from the filing of Aug 13, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $50.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 86derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.8MderivedHNW RAUM over HNW clients
- Average account
- $180,648derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 1.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +24%derivedbetween the last two annual amendments
- Advisor growth, one year
- +50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -70%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, publicationsreportedItem 5.G
- 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
- 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$188M62%
- Individuals$111M37%
- Pension and profit-sharing plans$5.5M1.8%
- Individual clients
- 450reported
- HNW clients
- 67reported
- Pension plan clients
- 5reported
- Charitable clients
- 0reported
- Accounts
- 1,686reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Cory Kenneth Sims | Cincinnati, Oh | Dec 4, 2013 | 13 y | 1 |
| Ryan Samuel Atkins | Maineville, Oh | Sep 16, 2021 | 15 y | 0 |
| Michael Frank Perry | Cincinnati, Oh | Feb 28, 2023 | 14 y | 0 |
| Patrick Neil Jones | Cincinnati, Oh | Jun 12, 2025 | 10 y | 0 |
| William David Justice | Cincinnati, Oh | Aug 27, 2025 | 11 y | 0 |
| Connor James Diem | Cincinnati, Oh | Jul 22, 2026 | 10 y | 0 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 17% of current headcount1 left over 36 months
Left, latest
- Blake Alexander Bagshaw to Arven Wealth Management LLCDec 2, 2025 · RIA to a state-registered adviser
Joined, latest
- Blake Alexander Bagshaw from Valmark Advisers, Inc.Nov 16, 2021 · Affiliated broker-dealer or bank to independent RIA
- Cory Kenneth Sims from Valhalla Investment Advisory, Inc.Dec 4, 2013 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Elizabeth Manteau · Chief Compliance Officercontrolsince 10/2024 · owns less than 5%
- Kenneth Cory Sims · Managing Membercontrolsince 10/2013 · owns 75% or more
Related persons
Schedule D 7.A
- Blake Bagshawreal estatey
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Cincinnati, Oh · principal | 6 | 1 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Hillsboro, OH1 employees
- , 1 employees
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- clients down average size upCombination · filing Mar 27, 2026private clients fell 20 percent or more while RAUM per client rose 30 percent or more: a move up-market or the departure of small accounts. RAUM $245,920,179 to $304,571,897, advisors 4 to 6, private clients 1716 to 517, offices 2 to 1 (2025-02-05 to 2026-03-27)peers: independent wealth managers, $100M to $500M (5,676)
- client count collapseChange between filings · filing Mar 27, 2026individual and HNW clients (Item 5.D) moved from 1,716.0 to 517.0 (-70.0%) between the annual amendments of 2025-02-05 and 2026-03-27; the peer median change was +3.0% (3310 comparable advisers, 0.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,310) · 0.4% percentile
- HNW share shiftChange between filings · filing Mar 27, 2026HNW share of RAUM moved from 41.0% to 62.0% between the annual amendments of 2025-02-05 and 2026-03-27peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 1,752 to 1,686Sep 9, 2025 to Mar 27, 2026
- Advisory employees · 4 to 6Sep 9, 2025 to Mar 27, 2026
- Corporate clients · 2 to 0Sep 9, 2025 to Mar 27, 2026
- HNW clients · 31 to 67Sep 9, 2025 to Mar 27, 2026
- Individual clients · 1,685 to 450Sep 9, 2025 to Mar 27, 2026
- Pension plan clients · 34 to 5Sep 9, 2025 to Mar 27, 2026
- Employees · 7 to 12Sep 9, 2025 to Mar 27, 2026
- State-registered IARs · 4 to 6Sep 9, 2025 to Mar 27, 2026
- Other offices · 2 to 1Sep 9, 2025 to Mar 27, 2026
- Discretionary RAUM · $242M to $299MSep 9, 2025 to Mar 27, 2026
- HNW RAUM · $101M to $188MSep 9, 2025 to Mar 27, 2026
- Individual RAUM · $139M to $111MSep 9, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $4.0M to $5.5MSep 9, 2025 to Mar 27, 2026
- Pension RAUM · $4.0M to $5.5MSep 9, 2025 to Mar 27, 2026
- RAUM · $246M to $305MSep 9, 2025 to Mar 27, 2026
- Advisory activities · 4 to 5Jun 9, 2025 to Jul 11, 2025
- Financial planning clients · 251-500 to 251-500Jun 9, 2025 to Jul 11, 2025
- Accounts · 1,575 to 1,752Nov 1, 2024 to Feb 5, 2025
- Corporate clients · 1 to 2Nov 1, 2024 to Feb 5, 2025
- HNW clients · 61 to 31Nov 1, 2024 to Feb 5, 2025
- Individual clients · 426 to 1,685Nov 1, 2024 to Feb 5, 2025
- Pension plan clients · 9 to 34Nov 1, 2024 to Feb 5, 2025
- Employees · 6 to 7Nov 1, 2024 to Feb 5, 2025
- Discretionary RAUM · $187M to $242MNov 1, 2024 to Feb 5, 2025
- HNW RAUM · $103M to $101MNov 1, 2024 to Feb 5, 2025
- Individual RAUM · $84.5M to $139MNov 1, 2024 to Feb 5, 2025
- Non-discretionary RAUM · $6.8M to $4.0MNov 1, 2024 to Feb 5, 2025
- Pension RAUM · $6.3M to $4.0MNov 1, 2024 to Feb 5, 2025
- RAUM · $194M to $246MNov 1, 2024 to Feb 5, 2025
- Accounts · 1,374 to 1,575Dec 21, 2023 to Mar 20, 2024
- Advisory activities · 1 to 4Dec 21, 2023 to Mar 20, 2024
- HNW clients · 62 to 61Dec 21, 2023 to Mar 20, 2024
- Individual clients · 372 to 426Dec 21, 2023 to Mar 20, 2024
- Pension plan clients · 7 to 9Dec 21, 2023 to Mar 20, 2024
- Financial planning clients · 0 to 251-500Dec 21, 2023 to Mar 20, 2024
- Discretionary RAUM · $135M to $187MDec 21, 2023 to Mar 20, 2024
- HNW RAUM · $78.5M to $103MDec 21, 2023 to Mar 20, 2024
- Individual RAUM · $57.1M to $84.5MDec 21, 2023 to Mar 20, 2024
- Non-discretionary RAUM · $4.9M to $6.8MDec 21, 2023 to Mar 20, 2024
- Pension RAUM · $4.5M to $6.3MDec 21, 2023 to Mar 20, 2024
Signals
3 dated events
- Blake Alexander Bagshaw left Sims Investment Management Llc for Arven Wealth Management Llc (registered 2026-01-26)Dec 2, 2025 · Advisor changed firm · fact
- Elizabeth Manteau (Chief Compliance Officer) appeared on Schedule A of Sims Investment Management LlcNov 1, 2024 · Control person joined · fact
- Sims Investment Management Llc filed its initial SEC registration (Form ADV)Dec 13, 2021 · 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.
How to reach
public business contact points only, each with its source
- Business email
- katelyn@simsinvestment.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- sim@simsinvestment.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- sydney@simsinvestment.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 513-278-7467reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 513-445-9307reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 513-747-1081reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/sims-investmentreportedpublic record, Form ADV, Sep 17, 2026
- Website
- SIMSINVESTMENT.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 513-278-7467reportedpublic record, Form ADV, Aug 13, 2026
- Team page
- simsinvestment.com/who-we-arereportedpublished by the firm, firm site, Sep 15, 2026
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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $50.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026