Richard D. Simons

DIAMOND WEALTH MANAGEMENT

Alpine, UT 84004

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CRD#: 2649426

Professional summary

Richard Darren Simons is a registered financial advisor currently at DIAMOND WEALTH MANAGEMENT, LLC located in Alpine, Utah.

Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. Richard has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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) Northern Peaks Soccer Club LLC; Non-Investment Related; Cedar Hills, UT; Owner/Manager; 07/2018; Approximately 1 hour is spent in this capacity during non-trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Darren Simons's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

November 17, 2017 - Present

DIAMOND WEALTH MANAGEMENT, LLC

Office #1: 40 W. Main Street Court Suite 250e, Alpine, UT 84004

RIA

CRD#: 288603

Alpine, UT

Past

November 9, 2012 - June 13, 2017

CAPITAL GUARDIAN, LLC

CRD#: 137919

ALPINE, UT

Past

July 6, 2012 - November 3, 2017

CAPITAL GUARDIAN WEALTH MANAGEMENT, LLC

RIA

CRD#: 131631

ALPINE, UT

Past

November 7, 2006 - June 28, 2012

FORTIUS WEALTH MANAGEMENT LLC

RIA

CRD#: 141485

BLUFFDALE, UT

Past

March 6, 2006 - June 27, 2011

INTERMOUNTAIN FINANCIAL SERVICES, INC.

CRD#: 15386

BLUFFDALE, UT

Past

June 9, 2004 - December 6, 2006

FORTIUS FINANCIAL ADVISORS, LLC

RIA

CRD#: 128060

SALT LAKE CITY, UT

Past

December 20, 2002 - March 6, 2004

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

SALT LAKE CITY, UT

Past

December 16, 2002 - March 6, 2004

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

January 5, 2000 - December 20, 2002

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

SALT LAKE CITY, UT

Past

August 16, 1995 - November 1, 2002

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

SMITHFIELD, RI

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".

DIAMOND WEALTH MANAGEMENT, LLC

DIAMOND WEALTH MANAGEMENT, LLC | WEALTH MANAGEMENT CONSULTING | NORTHPOINTE INVESTMENT PARTNERS LLC | ENSIGN WEALTH ADVISORS LLC

CRD#: 288603 / SEC#: 801-110663

RIA

Registered Investment Advisory firm - (6/19/2017 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Texas
(11/17/2017)

IAR

Utah
(11/17/2017)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/29/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/18/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 6/13/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/9/1996

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/15/1995

Investment Company Products/Variable Contracts Representative Examination

Current Firm

DIAMOND WEALTH MANAGEMENT, LLC

DIAMOND WEALTH MANAGEMENT, LLC | WEALTH MANAGEMENT CONSULTING | NORTHPOINTE INVESTMENT PARTNERS LLC | ENSIGN WEALTH ADVISORS LLC

CRD#: 288603 / SEC#: 801-110663

RIA

Registered Investment Advisory firm - (6/19/2017 Approved)

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Contact information

Main Address

40 W. Main Street Court Suite 250e, Alpine, UT 84004

Mailing Address

Phone number

(801) 216-4811

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (12 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV2A AND 2B (4/25/2025)

JONATHAN GARDNER ADV PART 2B (4/25/2025)

ADV PART 2B N CAJIGAS (4/25/2025)

ADV PART 2B RONALD T. SPERRY (4/25/2025)

ADV PART 2B R SIMONS (4/25/2025)

ADV PART 2B ARTHUR J SMITHEE (4/25/2025)

Regulatory assets under management

Total Number of Accounts	510
AUM (Assets Under Management)	$ 183,472,016

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.

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Firm Stability Insights

Richard D. Simons

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Darren Simons's CRS (Customer Relationship Summary).

Certified licenses

Experience

CAPITAL GUARDIAN, LLC

CAPITAL GUARDIAN WEALTH MANAGEMENT, LLC

FORTIUS WEALTH MANAGEMENT LLC

INTERMOUNTAIN FINANCIAL SERVICES, INC.

FORTIUS FINANCIAL ADVISORS, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

STRATEGIC ADVISERS LLC

FIDELITY BROKERAGE SERVICES LLC

Primary Firm SEC Registration

DIAMOND WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/29/1999

Series 63

Date: 8/18/1995

SIE

Date: 6/13/2017

Series 7

Date: 4/9/1996

Series 6

Date: 8/15/1995

Current Firm

DIAMOND WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (12 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

DIAMOND WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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