9AT: DES MOINES INVESTMENTS, LLC

DES MOINES INVESTMENTS, LLC

DES MOINES INVESTMENTS, LLC

FORT DES MOINES FINANCIAL SERVICES, INC.

FDM FINANCIAL ADVISORY

Adviser Profile

As of Date	06/17/2026
Registration	SEC, Approved, 03/03/2022
Other registrations (2)	Iowa, Terminated, 04/13/2022 Texas, Terminated, 04/11/2022
ADV Location	DES MOINES, IA, United States
Contact Info	515 xxxxxxx
Websites

AUM^*	246,000,000 45%
of that, discretionary	246,000,000 45%
Number of Employees	4
of those in investment advisory functions	3 50%
Private Fund GAV^*	0
Avg Account Size	164,329 -3%
% High Net Worth	10.71% 7%
SMA’s	No
Private Funds	0

Adviser Type

- Large advisory firm

Client Types

- Individuals (other than high net worth individuals)
- High net worth individuals

Advisory Activities

- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses

Compensation Arrangments

- A percentage of assets under your management

Reported AUM

246M 211M 176M 141M 105M 70M 35M

2021 2022 2023 2024 2025 2026

Discretionary

Non-discretionary

Private Funds

No private funds

Employees

Brochure Summary

Overview

Item 4 Mr. Harkin worked as a Commodity Broker for Commodity Service, Inc. in West Des Moines, IA from 1993-1994. From January 1996 to November 2006, he worked as an independent advisor under the broker-dealer - American Express Financial Advisors. Early in his career, he obtained the educational designations CFP, CLU, ChFC. Fort Des Moines Financial Services, Inc. was established in November 2006 by Mr. Harkin. He joined Cambridge Investment Research as an Independent Advisor and began using Charles Schwab (formerly TD Ameritrade) as his sole Custodian of assets for all his accounts. Mr. Harkin is an Investment Advisory Representative (IAR) and the principal owner. The company name was changed in the summer of 2020 from Fort Des Moines Financial Services to Des Moines Investments. Later that fall, advisor Sean Kimberley, joined DSMI as an IAR. Des Moines investments will be abbreviated as DSMI for the purpose of this brochure. Fort Des Moines Financial Services registered as an investment advisor under the state of Iowa in 2008. Mr. Harkin resigned from Cambridge in November of 2014, keeping all his Charles Schwab (formerly TD Ameritrade) advisory accounts. Mr. Harkin is a registered investment advisor based in Des Moines and incorporated under the State of Iowa laws and is subject to its compliance oversight. DSMI is a fiduciary acting in his client’s best interest. Mr. Kimberley worked as a financial advisor for American Express Financial Advisors beginning in 1996 and stayed with that firm until

2002. Mr. Kimberley transitioned to an independent registered representative with First Midwest Securities. First Midwest Securities was acquired by Royal Alliance and Mr. Kimberley stayed with that firm until August of 2020. Mr. Kimberley is an Investment Advisor Representative with Des Moines Investments and has been in that role since August of 2020. A. Investment Management Services DSMI offers ongoing portfolio management services based on each client’s goals, objectives, time horizon, and risk tolerance. The company creates an investment profile for each client. Your portfolio recommendation is based on your specific needs. It outlines the client’s current situation looking at their income, debts, and tax bracket. DSMI then constructs a plan to aid in selecting a portfolio that matches each client’s specific situation. DSMI notifies clients of investment updates and changes before, concurrent, or shortly after making these updates through emails or voice messages. Accounts are discretionary. B. Financial Planning Services Des Moines Investments offers financial planning and free investment advice for individuals and businesses to apply an appropriate investment strategy. This may include, but is not limited to, the topics of insurance, taxes, retirement, and estate planning. C. Wrap Fee Programs Des Moines Investments does not participate in any wrap fee programs. D. Assets Under Management As of March 25th, 2024 Des Moines Investments manages $172,225,746 on a discretionary basis.

DES MOINES INVESTMENTS, LLC

DES MOINES INVESTMENTS, LLC

FORT DES MOINES FINANCIAL SERVICES, INC.

FDM FINANCIAL ADVISORY

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Brochure Summary

Overview

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DES MOINES INVESTMENTS, LLC DES MOINES INVESTMENTS, LLC FORT DES MOINES FINANCIAL SERVICES, INC. FDM FINANCIAL ADVISORY

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Brochure Summary

Overview

DES MOINES INVESTMENTS, LLC

DES MOINES INVESTMENTS, LLC

FORT DES MOINES FINANCIAL SERVICES, INC.

FDM FINANCIAL ADVISORY