HERBERT J. SIMS CAPITAL MANAGEMENT, INC.
Adviser information for HERBERT J. SIMS CAPITAL MANAGEMENT, INC. last updated from Form ADV on March 28th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Connecticut, United States |
Employees
| Total Number of Employees | 30 |
|---|---|
| Investment Advisory/Research | 21 |
| Registered Broker-Dealer Representatives | 23 |
| Registered State Investment Advisers | 21 |
| Licensed Agents of an Insurance Company | 19 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 245 | $121.2M |
| Non-Discretionary | 88 | $25.4M |
| Total | 333 | $146.7M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 153 | $48.9M |
| HNW Individuals | 39 | $83.9M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 1 | $1.5M |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 5 | $12.4M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUM |
| Other Business Activities | Insurance broker or agent |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 25.4M |
| Portfolio Manager | 0 |
| Both for Same | 121.2M |
| Portfolio Manager to Program | Sponsor |
|---|---|
| HJSCM MANAGED PORTFOLIO PROGRAM | HERBERT J. SIMS CAPITAL MANAGEMENT, INC. |
Identifiers
| SEC RIA File Number | 801-124853 |
|---|---|
| SEC ERA File Number | 801-124853 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 134510 |
| Legal Entity Identifier | None |
Principal Office
2150 POST ROADSUITE 301
FAIRFIELD
CT
United States
Monday - Friday, 9 AM - 5:00 PM
Tel: 203-418-9000, Fax: None
Chief Compliance Officer
VALERIE HEBERT
CHIEF COMPLIANCE OFFICER
2150 POST RD
SUITE 301
FAIRFIELD
CT
United States
Tel:
(203) 418-9020
V******@*********M
(Full email address available in API data)
Regulatory Contact
KAREN CARROLL
COMPLIANCE ANALYST
2700 N. MILITARY TRAIL
BOCA RATON
FL
United States
Tel:
561.620.2138
K*******@*********M
(Full email address available in API data)
Industry Affiliates
| HERBERT J. SIMS & CO, INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealerRegistered municipal advisor |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| SIMS, WILLIAM, BARNETT | Individual | – | CEO | 11/1995 | < 5% |
| HERBERT J. SIMS & CO. INC. | Domestic Entity | – | SHAREHOLDER | 11/1995 | > 75% |
| TEKSYS CORPORATION | Domestic Entity | HERBERT J. SIMS & CO. INC. | SHAREHOLDER | 07/1970 | > 75% |
| SIMS, WILLIAM, BARNETT | Individual | TEKSYS CORPORATION | SHAREHOLDER | 05/1981 | > 75% |
| DIAMOND, JASON, HOWARD | Individual | – | CHIEF FINANCIAL OFFICER | 06/2007 | < 5% |
| Hebert, Valerie | Individual | – | CHIEF COMPLIANCE OFFICER | 09/2019 | < 5% |
| JAROW, JONATHAN, DAVID | Individual | – | MANAGING DIRECTOR | 10/2022 | < 5% |
| Koene, john, william | Individual | – | MANAGING DIRECTOR | 10/2022 | < 5% |