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SIMMONS CAPITAL GROUP

HALFMOON, NY · CRD 281122 · IAPD ↗ · simmonscapitalgroup.com · (518) 406-5624

$213.0MRegulatory AUM
8Advisory reps
11Employees
0Clients
26-50Planning clients
0Private funds
15States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

42
April 2026 — SIMMONS CAPITAL GROUP notice-filed in GA.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
50
April 2026 — SIMMONS CAPITAL GROUP added office(s): 4 -> 5 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
69
April 2026 — SIMMONS CAPITAL GROUP grew from 4 to 8 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
50
April 2025 — SIMMONS CAPITAL GROUP added office(s): 1 -> 4 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
42
October 2024 — SIMMONS CAPITAL GROUP notice-filed in NJ.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
42
June 2024 — SIMMONS CAPITAL GROUP notice-filed in SC.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
58
April 2024 — SIMMONS CAPITAL GROUP reports 51-100 financial-planning clients, up from 26-50.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
65
April 2024 — SIMMONS CAPITAL GROUP now reports custody of client assets ($1.4M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.