DES MOINES INVESTMENTS, LLC of DES MOINES, IA is an SEC-registered investment adviser (CRD 146322). Regulatory assets under management: $246.0M.
Compensation: % of AUM.
Clients served: High net worth, Pooled vehicles.
| Name | Role | Location |
|---|---|---|
| David Daniel Harkin | OWNER | — |
| Matthew Sean Kimberley | CCO | — |
| HARKIN DAVID DANIEL | OWNER; OWNER, CCO | — |
| KIMBERLEY MATTHEW SEAN | CCO | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2022-04-22 | regulatory | IN MARCH OF 2022, DES MOINES INVESTMENTS (DSMI) MOVED FROM BEING A STATE-REGISTERED INVESTMENT IN IOWA TO BECOMING REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION (SEC). THIS CHANGE CAME FROM AN INCREASE IN ASSETS MANAGED OVER $100 MILLION. PREVIOUS TO THE CONVERSION, MR. HARKIN AND MR. KIMBE… | Final | $8K |