SIMS INVESTMENT MANAGEMENT LLC of CINCINNATI, OH is an SEC-registered investment adviser (CRD 169491). Regulatory assets under management: $304.6M.
Compensation: % of AUM, Hourly, Fixed.
Clients served: Individuals, High net worth, Pooled vehicles, Pensions, Corporations.
| Name | Role | Location |
|---|---|---|
| David James Reichert | CHIEF COMPLIANCE OFFICER | Centennial, CO |
| Cory Kenneth Sims | MANAGING MEMBER | — |
| Elizabeth Manteau | CHIEF COMPLIANCE OFFICER | Broomfield, CO |
| SIMS CORY KENNETH | MANAGING MEMBER; MANAGING MEMBER, CHIEF COMPLIANCE OFFICER | — |
| Manteau Elizabeth | CHIEF COMPLIANCE OFFICER | — |
| Patrick Neil Jones | CHIEF OPERATING OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2013-01-10 | regulatory | MR. SIMS ACCEPTED COMPENSATION OF $268.61 WHILE NOT APPROVED AS AN INVESTMENT ADVISOR REPRESENTATIVE FROM JULY 20, 2012 - OCTOBER 9 2012. MR. SIMS WAS ORDERED TO CEASE AND DESIST OF UNLICENSED ACTIVITY AND TO REFUND THE MONIES TO THE CLIENTS AFFECTED AND AGREED TO DO SO WITHIN 30 DAYS OF THE SIGNED… | Final | — |