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HERBERT J. SIMS CAPITAL MANAGEMENT, INC.
CRD 134510File 801-124853
APPROVED
Retail clients
Disclosure events
Filing as of Apr 27, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$436.9M
Below cohort median (national)
Discretionary AUM
$330.7M
Non-discretionary $106.2M
Clients
350
685 accounts
Employees
30
Below cohort median in CT
Identity & registration
ADV Item 1- Organization form
- Corporation
- Firm type
- Registered
- SEC region
- BRO
- Registration date
- May 2, 2022
- Principal office
- 2150 POST ROAD, SUITE 301, FAIRFIELD, CT, 06824
- Phone
- 203-418-9000
- Website
- https://www.hjsims.com
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $436.9M
- Discretionary AUM
- $330.7M
- Non-discretionary AUM
- $106.2M
- Discretionary accounts
- 472
- Non-discretionary accounts
- 213
- Total accounts
- 685
- AUM per client
- $1.2M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | 12 | $25.0M |
| Charitable organizations | 1 | $2.2M |
| High net worth individuals | 81 | $315.8M |
| Individuals (other than high net worth individuals) | 256 | $93.8M |
Compensation & activities
ADV Items 5E, 5GCompensation
- A percentage of assets under your management
Advisory activities
- Financial planning services
- Selection of other advisers
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- No
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- No
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11- Q11C2
- Q11C4
- Q11C5
- Q11D2
- Q11D4
- Q11E2
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Apr 1, 2026 | Clients | 221 | 350 | increased by129 |
| Apr 1, 2026 | AUM | $186,784,367 | $436,943,333 | increased by$250,158,966 |
| Apr 1, 2026 | Accounts | 374 | 685 | increased by311 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 38 | 30 | decreased by8 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 142 | 221 | increased by79 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $177,076,749 | $186,784,367 | increased by$9,707,618 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 264 | 374 | increased by110 |
| Jun 1, 2022 | Registration | — | APPROVED |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “HERBERT SIMS” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“HERBERT SIMS” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.