SB
Sara D. Boyd
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CRD#: 2540881
SB
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Sara Dixon Boyd, who also goes by Sara B Zimmerling, was a registered financial professional .
Sara is a previously registered financial professional and started their career in finance in 1994. Sara had worked at 6 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Sara B Zimmerling
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
(1)Investment-related activity, The Denver Foundation, 1009 Grant Street, Denver, CO 80203, community foundation supporting Colorado non-profit organizations, guest member of the Impact Investing Committee, November 2021, approximately 1 hour/month, community supporter of The Denver Foundation and will participate on Impact Investment Committee which reviews, discusses and recommends investments on behalf of the foundation.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
August 19, 2022 - January 25, 2023
CAPTRUST
RIA
CRD#: 175112
Glendale, CO
Past
February 5, 2020 - October 21, 2022
FWM LEGACY, LLC
RIA
CRD#: 144344
Glendale, CO
Past
January 15, 2016 - February 3, 2020
HIGHWATER WEALTH MANAGEMENT LLC
RIA
CRD#: 157237
GLENDALE, CO
Past
July 1, 2010 - January 8, 2016
COBIZ WEALTH
RIA
CRD#: 125910
DENVER, CO
Past
January 1, 1999 - June 30, 2010
WAGNER INVESTMENT MANAGEMENT INC.
RIA
CRD#: 111145
DENVER, CO
Past
October 28, 1994 - October 27, 1995
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CA
CAPTRUST
1776 ADVISOR GROUP | WINDSOR FINANCIAL GROUP | WELCH HORNSBY, INC. | WEALTH COVENANT GROUP LLC | WATERMARK ASSET MANAGEMENT, INC. | TRUTINA FINANCIAL | TRUSTCORE FINANCIAL SERVICES, LLC | TRUNORTH WEALTH PARTNERS, LLC | THE JOHNSTON GROUP | STRATEGIC ADVISOR GROUP | STEWARDSHIP FINANCIAL ADVISORS, LLC | SOUTHERN WEALTH MANAGEMENT LLP | SOUTH TEXAS MONEY MANAGEMENT, LTD. | SHINE WEALTH PARTNERS | RINET COMPANY, LLC | REYNOLDS INVESTMENT MANAGEMENT INC | QUANTITATIVE ADVANTAGE, LLC | PWA WEALTH MANAGEMENT | PORTFOLIO EVALUATIONS, INC. | PARKER, CARLON & JOHNSON, INC. | OMEGA WEALTH PARTNERS, INC. | NEW MARKET WEALTH MANAGEMENT, LLC | NACHMAN NORWOOD & PARROTT, INC. | MRA ASSOCIATES | MORTON WEALTH MANAGEMENT LLC | MONROE VOS CONSULTING, INC. | MCQUEEN BALL & ASSOCIATES LLC | LAKESIDE WEALTH MANAGEMENT GROUP, LLC. | KNOX CAPITAL ADVISORS LLC | KAIROS PRIVATE WEALTH, INC | J.H. ELLWOOD & ASSOCIATES, INC. (ELLWOOD) | INTRUST FIDUCIARY GROUP | GENOVESE BURFORD & BROTHERS WEALTH AND RETIREMENT PLAN MGMT, LLC | FRONTIER WEALTH MANAGEMENT, LLC | FREEDOM 401K | FOUNTAIN FINANCIAL ASSOCIATES, INC. | FCE GROUP | FAMILY OFFICE RISK ADVISORS | ENGRAVE WEALTH PARTNERS LLC | DEFINED CONTRIBUTION ADVISORS INC OR DCADVISORS | DAVIDSON & GARRARD INC | DANDA TROUVE INVESTMENT MANAGEMENT, INC. | CRESCENT CAPITAL CONSULTING, LLC | COVENANT MULTI-FAMILY OFFICES, LLC (COVENANT) | CORNERSTONE CAPITAL ADVISORS | COLUMN CAPITAL ADVISORS, LLC | COBBLESTONE CAPITAL ADVISORS, LLC. | CATAWBA CAPITAL MANAGEMENT INC | CAROLINAS WEALTH CONSULTING LLC | CAPTRUST FINANCIAL ADVISORS | CAPTRUST ADVISORS LLC | CAPTRUST | CAPFINANCIAL PARTNERS, LLC | CAMPBELL WEALTH MANAGEMENT, INC. | CAMMACK RETIREMENT ADVISORS, LLC | BOSTON FINANCIAL MANAGEMENT LLC | AEVITAS WEALTH MANAGEMENT, INC.
CRD#: 175112 / SEC#: 801-62193
RIA
Registered Investment Advisory firm - (7/11/2003 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
Current Firm
CA
CAPTRUST
1776 ADVISOR GROUP | WINDSOR FINANCIAL GROUP | WELCH HORNSBY, INC. | WEALTH COVENANT GROUP LLC | WATERMARK ASSET MANAGEMENT, INC. | TRUTINA FINANCIAL | TRUSTCORE FINANCIAL SERVICES, LLC | TRUNORTH WEALTH PARTNERS, LLC | THE JOHNSTON GROUP | STRATEGIC ADVISOR GROUP | STEWARDSHIP FINANCIAL ADVISORS, LLC | SOUTHERN WEALTH MANAGEMENT LLP | SOUTH TEXAS MONEY MANAGEMENT, LTD. | SHINE WEALTH PARTNERS | RINET COMPANY, LLC | REYNOLDS INVESTMENT MANAGEMENT INC | QUANTITATIVE ADVANTAGE, LLC | PWA WEALTH MANAGEMENT | PORTFOLIO EVALUATIONS, INC. | PARKER, CARLON & JOHNSON, INC. | OMEGA WEALTH PARTNERS, INC. | NEW MARKET WEALTH MANAGEMENT, LLC | NACHMAN NORWOOD & PARROTT, INC. | MRA ASSOCIATES | MORTON WEALTH MANAGEMENT LLC | MONROE VOS CONSULTING, INC. | MCQUEEN BALL & ASSOCIATES LLC | LAKESIDE WEALTH MANAGEMENT GROUP, LLC. | KNOX CAPITAL ADVISORS LLC | KAIROS PRIVATE WEALTH, INC | J.H. ELLWOOD & ASSOCIATES, INC. (ELLWOOD) | INTRUST FIDUCIARY GROUP | GENOVESE BURFORD & BROTHERS WEALTH AND RETIREMENT PLAN MGMT, LLC | FRONTIER WEALTH MANAGEMENT, LLC | FREEDOM 401K | FOUNTAIN FINANCIAL ASSOCIATES, INC. | FCE GROUP | FAMILY OFFICE RISK ADVISORS | ENGRAVE WEALTH PARTNERS LLC | DEFINED CONTRIBUTION ADVISORS INC OR DCADVISORS | DAVIDSON & GARRARD INC | DANDA TROUVE INVESTMENT MANAGEMENT, INC. | CRESCENT CAPITAL CONSULTING, LLC | COVENANT MULTI-FAMILY OFFICES, LLC (COVENANT) | CORNERSTONE CAPITAL ADVISORS | COLUMN CAPITAL ADVISORS, LLC | COBBLESTONE CAPITAL ADVISORS, LLC. | CATAWBA CAPITAL MANAGEMENT INC | CAROLINAS WEALTH CONSULTING LLC | CAPTRUST FINANCIAL ADVISORS | CAPTRUST ADVISORS LLC | CAPTRUST | CAPFINANCIAL PARTNERS, LLC | CAMPBELL WEALTH MANAGEMENT, INC. | CAMMACK RETIREMENT ADVISORS, LLC | BOSTON FINANCIAL MANAGEMENT LLC | AEVITAS WEALTH MANAGEMENT, INC.
CRD#: 175112 / SEC#: 801-62193
RIA
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Contact information
Main Address
4208 Six Forks Rd Suite 1700, Raleigh, NC 27609
Mailing Address
Phone number
(919) 870-6822
Established
Firm type
Fiscal year end
# of Employees
1,723
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 127,387 |
| AUM (Assets Under Management) | $ 1,083,051,008,644 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/17/2025 | ||
| 10/25/2024 | ||
| 01/24/2024 | ||
| 01/03/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
