Richard L Sims

Employer firm

Hartford Funds CRD 147746

$152B regulatory AUM 4 advisory clients

Reported services (Item 5G)

• Portfolio management (investment companies)
• Portfolio management (pooled vehicles)
• Selection of other advisers
• REGISTRANT PROVIDES INVESTMENT ADVICE TO STATES IN CONNECTION WITH 529 PLANS AND MODEL RECOMMENDATIONS

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 10/2009 → 05/2017
  Jp Morgan Chase
  Chicago, IL
• 06/2017 → 06/2022
  Guggenheim Funds Distributors Llc
  Chicago, IL
• 07/2022 → 12/2024
  Pacific Investment Management Company Llc
  Oak Lawn, IL
• 07/2022 → 12/2024
  Pimco Investments Llc
  Oak Lawn, IL
• 06/2025 → Present
  Hartford Funds Distributors, Llc
  Wayne, PA
• 06/2025 → Present
  Hartford Funds Management Company, Llc
  Wayne, PA
• 12/2024 → 06/2025
  Unemployed
  Chicago, IL

Previous Registrations

• 2011-12-21 → 2012-05-15
  Chase Investment Services Corp.
  Chicago, IL

Exams

• S66 Uniform Combined State Law Examination
  2011-12-16

Designations

• Certified Financial Planner

Other Names

• Richard Lemuel Sims