{
  "crd_number": 134510,
  "slug": "herbert-j-sims-capital-management-inc-fairfield-ct-134510",
  "primary_business_name": "HERBERT J. SIMS CAPITAL MANAGEMENT, INC.",
  "legal_name": "HERBERT J. SIMS CAPITAL MANAGEMENT, INC.",
  "dbas": [],
  "city": "Fairfield",
  "state": "CT",
  "country": "United States",
  "cbsa_code": "14860",
  "metro": {
    "cbsa_code": "14860",
    "common_name": "Bridgeport",
    "msa_name": "Bridgeport-Stamford-Danbury, CT",
    "path": "/advisors/ct/bridgeport"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "2022-05-02",
  "years_registered": 4,
  "period": "2026-10-01",
  "filing_date": "2026-04-27",
  "carried_forward": false,
  "raum_total": 436943333.0,
  "raum_discretionary": 330704528.0,
  "raum_non_discretionary": 106238805.0,
  "raum_band": "100m_500m",
  "raum_band_label": "$100 million to $500 million",
  "total_employees": 30,
  "advisory_employees": 25,
  "client_count_bucket": null,
  "clients_by_type": {
    "other": {
      "raum": null,
      "count": 0
    },
    "charitable": {
      "raum": 2229583.0,
      "count": 1
    },
    "individuals": {
      "raum": 93846634.0,
      "count": 256
    },
    "banking_thrift": {
      "raum": null,
      "count": 0
    },
    "state_municipal": {
      "raum": null,
      "count": 0
    },
    "insurance_companies": {
      "raum": null,
      "count": 0
    },
    "investment_companies": {
      "raum": null,
      "count": 0
    },
    "pension_profit_sharing": {
      "raum": null,
      "count": 0
    },
    "other_investment_advisers": {
      "raum": null,
      "count": 0
    },
    "high_net_worth_individuals": {
      "raum": 315826978.0,
      "count": 81
    },
    "pooled_investment_vehicles": {
      "raum": null,
      "count": 0
    },
    "corporations_other_businesses": {
      "raum": 25040138.0,
      "count": 12
    },
    "business_development_companies": {
      "raum": null,
      "count": 0
    },
    "sovereign_wealth_foreign_official": {
      "raum": null,
      "count": 0
    }
  },
  "compensation_types": [
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "financial_planning",
    "portfolio_management_individuals",
    "selection_of_other_advisers"
  ],
  "wrap_fee_participant": true,
  "disclosure_yes_count": 6,
  "states_registered": [
    "CA",
    "CT",
    "FL",
    "LA",
    "MA",
    "MD",
    "MN",
    "NC",
    "NJ",
    "NY",
    "PR",
    "TX",
    "WI"
  ],
  "websites": [
    "https://facebook.com/herbertjsims",
    "https://hjsims.com",
    "https://instagram.com/HJSims",
    "https://linkedin.com/company/herbert-j.-sims-&-co",
    "https://x.com/HJSims"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/134510",
  "disclosure_items": [
    {
      "item": "11.C(2)",
      "question": "Has the SEC or the CFTC ever found that the firm or an advisory affiliate was involved in a violation of SEC or CFTC regulations or statutes?"
    },
    {
      "item": "11.C(4)",
      "question": "Has the SEC or the CFTC ever entered an order against the firm or an advisory affiliate in connection with investment-related activity?"
    },
    {
      "item": "11.C(5)",
      "question": "Has the SEC or the CFTC ever imposed a civil money penalty on the firm or an advisory affiliate, or ordered the firm or an advisory affiliate to cease and desist from an activity?"
    },
    {
      "item": "11.D(2)",
      "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was involved in a violation of investment-related regulations or statutes?"
    },
    {
      "item": "11.D(4)",
      "question": "In the past ten years, has another federal regulator, a state regulator, or a foreign financial regulator entered an order against the firm or an advisory affiliate in connection with investment-related activity?"
    },
    {
      "item": "11.E(2)",
      "question": "Has a self-regulatory organization or a commodities exchange ever found that the firm or an advisory affiliate was involved in a violation of its rules, other than a minor rule violation under a plan the SEC approved?"
    }
  ],
  "city_as_filed": "FAIRFIELD",
  "url": "https://advisorcensus.com/firm/herbert-j-sims-capital-management-inc-fairfield-ct-134510",
  "display_name": "Herbert J. Sims Capital Management, Inc.",
  "summary": "Herbert J. Sims Capital Management, Inc. is an SEC-registered investment advisory firm in Fairfield, CT, registered since 2022, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated April 27, 2026.",
  "citation": "AdvisorCensus. Herbert J. Sims Capital Management, Inc. (CRD 134510): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management"
  ],
  "advisory_activity_labels": [
    "Financial planning services",
    "Portfolio management for individuals and/or small businesses",
    "Selection of other advisers (including private fund managers)"
  ],
  "quick_answers": [
    {
      "q": "How is Herbert J. Sims Capital Management, Inc. compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Herbert J. Sims Capital Management, Inc. reports these compensation arrangements: a percentage of assets under its management."
    },
    {
      "q": "Where is Herbert J. Sims Capital Management, Inc. located?",
      "a": "Herbert J. Sims Capital Management, Inc.'s principal office is in Fairfield, CT, according to its Form ADV; the May 2026 filing also lists 4 other offices (Schedule D, Section 1.F)."
    },
    {
      "q": "Is Herbert J. Sims Capital Management, Inc. registered with the SEC or a state?",
      "a": "Herbert J. Sims Capital Management, Inc. is an SEC-registered investment advisory firm, registered since 2022. Status as filed: Approved. CRD 134510."
    },
    {
      "q": "How much does Herbert J. Sims Capital Management, Inc. manage?",
      "a": "Herbert J. Sims Capital Management, Inc. reports $436,943,333 in regulatory assets under management in its Form ADV filing dated April 27, 2026 (76% discretionary)."
    },
    {
      "q": "How have Herbert J. Sims Capital Management, Inc.'s assets and staff changed since 2022?",
      "a": "In the Form ADV data for Herbert J. Sims Capital Management, Inc.: Regulatory assets under management: $177,076,749 in the October 2022 data and $436,943,333 in the October 2026 data, up 147%. Total employees: 38 in October 2022 and 30 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does Herbert J. Sims Capital Management, Inc. serve?",
      "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (256); high net worth individuals (81); corporations or other businesses not listed above (12)."
    },
    {
      "q": "Which custodians does Herbert J. Sims Capital Management, Inc. use?",
      "a": "Herbert J. Sims Capital Management, Inc.'s most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Pershing LLC as a custodian holding 10% or more of its separately managed account assets."
    },
    {
      "q": "Does Herbert J. Sims Capital Management, Inc. report any disciplinary disclosures?",
      "a": "Reports 6 disclosure items on Form ADV Item 11: yes answers to 11.C(2) (SEC or CFTC finding of a violation), 11.C(4) (SEC or CFTC order), 11.C(5) (SEC or CFTC civil money penalty or cease-and-desist order), 11.D(2) (another regulator's finding of a violation), 11.D(4) (another regulator's order in the past ten years), and 11.E(2) (self-regulatory organization's finding of a rule violation). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/134510"
    },
    {
      "q": "What changed in Herbert J. Sims Capital Management, Inc.'s recent Form ADV filings?",
      "a": "In the May 2026 filing data: Updated its list of owners and control persons (Schedule A)."
    }
  ],
  "filing_history": [
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 177076749.0,
      "total_employees": 38,
      "filing_date": "2022-05-19"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 139907606.0,
      "total_employees": 32,
      "filing_date": "2023-07-05"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 146675712.0,
      "total_employees": 30,
      "filing_date": "2024-03-28"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 186784367.0,
      "total_employees": 30,
      "filing_date": "2025-06-10"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 436943333.0,
      "total_employees": 30,
      "filing_date": "2026-04-27"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-05-01",
      "period_label": "May 2026",
      "notes": [
        "Updated its list of owners and control persons (Schedule A)."
      ]
    },
    {
      "period": "2026-04-01",
      "period_label": "April 2026",
      "notes": [
        "Employees performing advisory functions went from 24 to 25.",
        "Regulatory assets under management went from $186,784,367 to $436,943,333 (+134%)."
      ]
    },
    {
      "period": "2026-01-01",
      "period_label": "January 2026",
      "notes": [
        "No longer registered or notice-filed in NH."
      ]
    },
    {
      "period": "2025-11-01",
      "period_label": "November 2025",
      "notes": [
        "Added an office in Palm Beach Gardens, FL.",
        "No longer lists an office in Jupiter, FL."
      ]
    }
  ],
  "fees_from_brochure": null,
  "custodians": [
    {
      "name": "Pershing LLC",
      "name_as_filed": "PERSHING LLC",
      "affiliated": false
    }
  ],
  "custodians_note": "Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.",
  "markdown_url": "https://advisorcensus.com/firm/herbert-j-sims-capital-management-inc-fairfield-ct-134510.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 256,
      "fewer_than_5": false,
      "raum": 93846634.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 81,
      "fewer_than_5": false,
      "raum": 315826978.0
    },
    {
      "type": "banking_thrift",
      "label": "Banking or thrift institutions",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "investment_companies",
      "label": "Investment companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "business_development_companies",
      "label": "Business development companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "pooled_investment_vehicles",
      "label": "Pooled investment vehicles (other than investment companies and business development companies)",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "pension_profit_sharing",
      "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "charitable",
      "label": "Charitable organizations",
      "count": 1,
      "fewer_than_5": false,
      "raum": 2229583.0
    },
    {
      "type": "state_municipal",
      "label": "State or municipal government entities (including government pension plans)",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "other_investment_advisers",
      "label": "Other investment advisers",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "insurance_companies",
      "label": "Insurance companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "sovereign_wealth_foreign_official",
      "label": "Sovereign wealth funds and foreign official institutions",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "corporations_other_businesses",
      "label": "Corporations or other businesses not listed above",
      "count": 12,
      "fewer_than_5": false,
      "raum": 25040138.0
    },
    {
      "type": "other",
      "label": "Other",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    }
  ],
  "disclosure_line": "Reports 6 disclosure items on Form ADV Item 11.",
  "indexable": true,
  "suppressed": false,
  "claimed": false,
  "enhanced": false,
  "provided_by_the_firm": null,
  "source": {
    "name": "Form ADV",
    "as_of": "2026-10-01",
    "iapd_url": "https://adviserinfo.sec.gov/firm/summary/134510",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}