# Herbert J. Sims Capital Management, Inc.

> 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.

- CRD: 134510
- Filed as: HERBERT J. SIMS CAPITAL MANAGEMENT, INC.
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Fairfield, CT
- Filing period: October 2026
- Form ADV filing dated: April 27, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/134510
- AdvisorCensus page: https://advisorcensus.com/firm/herbert-j-sims-capital-management-inc-fairfield-ct-134510

## Quick answers

**How is Herbert J. Sims Capital Management, Inc. compensated?**
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.

**Where is Herbert J. Sims Capital Management, Inc. located?**
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).

**Is Herbert J. Sims Capital Management, Inc. registered with the SEC or a state?**
Herbert J. Sims Capital Management, Inc. is an SEC-registered investment advisory firm, registered since 2022. Status as filed: Approved. CRD 134510.

**How much does Herbert J. Sims Capital Management, Inc. manage?**
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).

**How have Herbert J. Sims Capital Management, Inc.'s assets and staff changed since 2022?**
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.

**What types of clients does Herbert J. Sims Capital Management, Inc. serve?**
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).

**Which custodians does Herbert J. Sims Capital Management, Inc. use?**
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.

**Does Herbert J. Sims Capital Management, Inc. report any disciplinary disclosures?**
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

**What changed in Herbert J. Sims Capital Management, Inc.'s recent Form ADV filings?**
In the May 2026 filing data: Updated its list of owners and control persons (Schedule A).

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management

### Custodians (Schedule D, Section 5.K(3))
- Pershing LLC

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.

### Regulatory assets under management (Item 5.F)
- Total: $436,943,333
- Discretionary: $330,704,528
- Non-discretionary: $106,238,805

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 256 | $93,846,634 |
| High net worth individuals | 81 | $315,826,978 |
| Banking or thrift institutions | 0 | Not reported |
| Investment companies | 0 | Not reported |
| Business development companies | 0 | Not reported |
| Pooled investment vehicles (other than investment companies and business development companies) | 0 | Not reported |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 0 | Not reported |
| Charitable organizations | 1 | $2,229,583 |
| State or municipal government entities (including government pension plans) | 0 | Not reported |
| Other investment advisers | 0 | Not reported |
| Insurance companies | 0 | Not reported |
| Sovereign wealth funds and foreign official institutions | 0 | Not reported |
| Corporations or other businesses not listed above | 12 | $25,040,138 |
| Other | 0 | Not reported |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Selection of other advisers (including private fund managers)

### Firm details
- Registered since: 2022 (4 years)
- Employees: 30 total, 25 performing advisory functions
- Wrap fee program participation: Yes
- States registered or notice-filed: CA, CT, FL, LA, MA, MD, MN, NC, NJ, NY, PR, TX, WI
- Disclosures (Item 11): Reports 6 disclosure items on Form ADV Item 11.

### Item 11 questions answered yes
- 11.C(2): 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?
- 11.C(4): Has the SEC or the CFTC ever entered an order against the firm or an advisory affiliate in connection with investment-related activity?
- 11.C(5): 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?
- 11.D(2): 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?
- 11.D(4): 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?
- 11.E(2): 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?

Each question covers the firm and its advisory affiliates: its current employees other than clerical staff, its officers, partners, and directors, and anyone who controls the firm or is controlled by it. One event can produce yes answers to several questions. SEC-registered advisers and exempt reporting advisers may leave out events more than ten years old, and may answer 11.A(2) and 11.B(2) for pending charges only. The detail of each yes answer is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/134510

### Other offices (Schedule D, Section 1.F), as of the May 2026 filing
- Bloomington, MN
- Boca Raton, FL
- Palm Beach Gardens, FL
- Redbank, NJ

### Websites listed on Form ADV (Item 1.I)
- hjsims.com
- Facebook @herbertjsims
- Instagram @HJSims
- LinkedIn @herbert-j.-sims-&-co
- X @HJSims

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2022 | $177,076,749 | 38 | May 19, 2022 |
| October 2023 | $139,907,606 | 32 | July 5, 2023 |
| October 2024 | $146,675,712 | 30 | March 28, 2024 |
| October 2025 | $186,784,367 | 30 | June 10, 2025 |
| October 2026 | $436,943,333 | 30 | April 27, 2026 |

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.

## Changes in the filing (last 12 months)

### May 2026
- Updated its list of owners and control persons (Schedule A).

### April 2026
- Employees performing advisory functions went from 24 to 25.
- Regulatory assets under management went from $186,784,367 to $436,943,333 (+134%).

### January 2026
- No longer registered or notice-filed in NH.

### November 2025
- Added an office in Palm Beach Gardens, FL.
- No longer lists an office in Jupiter, FL.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Herbert J. Sims Capital Management, Inc. (CRD 134510): Form ADV filing data as of October 2026.