Sims Investment Management Llc
- Regulatory AUM
- $305M
- Discretionary
- $299M
- Clients
- 522
- Avg AUM / client
- $583K
- Accounts
- 1,686
- Employees
- 12
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of May 08, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 450 | $111M | 36.6% |
| High net worth individuals | 67 | $188M | 61.6% |
| Pension and profit sharing plans | 5 | $5.5M | 1.81% |
People (6)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Cory Kenneth Sims | Managing Member | Oct 2013 (13y) | 75% or more | |
| Elizabeth Manteau | Chief Compliance Officer | Oct 2024 (2y) | Less than 5% | |
| Ryan Samuel Atkins | Registered representative | Sep 2021 (5y) | ||
| Michael Frank Perry | Registered representative | Feb 2023 (3y) | ||
| Patrick Neil Jones | Registered representative | Jun 2025 (1y) | ||
| William David Justice | Registered representative | Aug 2025 (1y) |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 05/08/2026 | 1.03 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
Allegations: 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 CONSENT ORDER. Status: Final Sanction Detail: MR. SIMS MUST REFUND $268.61 TO THE AFFECTED CLIENTS AND RETAIN RECORDS FOR FIVE YEARS THAT HE REFUNDED THE MONIES WITHIN 30 DAYS OF THE SIGNED CONSENT ORDER. Summary: 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 CONSENT ORDER.
Disclosure text reproduced verbatim from the firm's own Form ADV filings.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
- • Pension consulting services
- • Publication of periodicals or newsletters
Custody
Reported custodians
- Charles Schwab & Co. $299M (98% of AUM) May 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: May 08, 2026.
View current Form ADV (SEC/IAPD) ↗