AS
Andrew D. Simms
FROST INVESTMENT ADVISORS
San Antonio, TX 78205
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CRD#: 6656160
AS
Professional summary
Andrew D Simms is a registered financial advisor currently at FROST INVESTMENT ADVISORS, LLC located in San Antonio, Texas.
Andrew is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2021. Andrew has worked at 1 firm and has passed the Series 65 exam.
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.
50% owner of Wildcat Bakery LLC a business that owns and operates Nothing Bundt Cake franchises and has a business address of 755 E Mulberry Ave Suite 600 San Antonio, TX 78212. Co-own a restaurant and catering company Cardinal Caf� and Catering LLC with my wife, Haley Simms, who runs the business as her full time job. It has a business address of 417 Kokomo St. Alamo Heights, TX 78209. Neither of these businesses are investment related. I do not currently, nor do I plan to devote hours to these businesses during securities trading hours. Total time devoted to these businesses is approximately 15 hours a month outside of trading hours with no responsibilities tied to day-to-day operations.
CRS (Client Relationship Summary) - RIA
Click below to view Andrew D Simms's 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®
NoneExperience
Current
December 21, 2021 - Present
FROST INVESTMENT ADVISORS, LLC
Office #1: 111 West Houston Street 10th Floor, San Antonio, TX 78205RIA
CRD#: 146148
San Antonio, TX
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".
FI
FROST INVESTMENT ADVISORS, LLC
FROST INVESTMENT ADVISORS, LLC | FROST WEALTH MANAGEMENT SERVICES | FROST INVESTMENT MANAGEMENT COMPANY
CRD#: 146148 / SEC#: 801-68724
RIA
Registered Investment Advisory firm - (1/25/2008 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(12/21/2021)
Current Firm
FI
FROST INVESTMENT ADVISORS, LLC
FROST INVESTMENT ADVISORS, LLC | FROST WEALTH MANAGEMENT SERVICES | FROST INVESTMENT MANAGEMENT COMPANY
CRD#: 146148 / SEC#: 801-68724
RIA
Registered Investment Advisory firm - (1/25/2008 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
111 West Houston Street 10th Floor, San Antonio, TX 78205
Mailing Address
Post Office Box 2509, San Antonio, TX 78299-2509
Phone number
(210) 220-5070
Established
Firm type
Fiscal year end
# of Employees
31
SEC notice filing (1 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 10 |
| AUM (Assets Under Management) | $ 5,435,683,122 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/10/2024 | ||
| 11/09/2023 | ||
| 12/09/2022 |
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.
