Herbert J. Sims Capital Management provides financial planning, portfolio management for individuals and small businesses, selecting other managers, business succession planning, estate planning, insurance, and philanthropic planning. Financial planning was provided to 1–10 clients last fiscal year.
Herbert J. Sims Capital Management reports 350 clients. They include 256 individual clients, 81 high-net-worth individuals, and 12 corporations and other businesses. Of its assets, 75.7% ($331M across 472 accounts) are managed with discretion; $106M across 213 accounts are not. A wrap fee program the firm both sponsors and manages holds $437M.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 73% | 21% |
| High-net-worth individuals | 23% | 72% |
| Charitable organizations | <1% | <1% |
| Corporations and other businesses | 3% | 6% |
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 256 | $93.8M | 21.5% | $367K |
| High-net-worth individuals | 81 | $316M | 72.3% | $3.9M |
| Charitable organizations | 1 | $2.23M | 0.5% | $2.23M |
| Corporations and other businesses | 12 | $25M | 5.7% | $2.09M |
| Total | 350 | $437M | 100% | $1.25M |
- Clients
- 256
- Regulatory AUM
- $93.8M
- AUM share
- 21.5%
- Avg. per client
- $367K
- Clients
- 81
- Regulatory AUM
- $316M
- AUM share
- 72.3%
- Avg. per client
- $3.9M
- Clients
- 1
- Regulatory AUM
- $2.23M
- AUM share
- 0.5%
- Avg. per client
- $2.23M
- Clients
- 12
- Regulatory AUM
- $25M
- AUM share
- 5.7%
- Avg. per client
- $2.09M
Total
- Clients
- 350
- Regulatory AUM
- $437M
- AUM share
- 100%
- Avg. per client
- $1.25M
- Clients outside the U.S.
- 0%
- Clients advised without assets under management last fiscal year
- 0
- Private funds advised
- 0
- Financial planning clients last fiscal year
- 1–10
Herbert J. Sims Capital Management charges 1.25%–2.50% a year for its HJSCM Managed Portfolio Program (MPP). Each asset band is charged at its own rate. The fee is billed in advance, is negotiable and requires an account of at least $50,000.
| Asset band | Annual rate |
|---|---|
| $50K–$500K | 2.50% |
| $500K–$1M | 2.00% |
| $1M–$2.5M | 1.75% |
| $2.5M–$5M | 1.50% |
| $5M and above | 1.25% |
Fee details and sources
Herbert J. Sims & Co. Inc. owns 75% or more of Herbert J. Sims Capital Management and is in turn owned by Teksys Corporation (75% or more). The leadership team of Herbert J. Sims Capital Management includes Chief Financial Officer Jason Diamond and Chief Compliance Officer Valerie Hebert. It has 30 employees, 25 of them in advisory roles.
Staff
- 30 employees
- 25 in advisory functions
- 25 state-registered reps
- 24 broker-dealer reps
- 18 insurance agents
- Owns 75% or more of Herbert J. Sims Capital Management, Inc.
Herbert J. Sims & Co. Inc.
Control person · since November 1995
- Owns 75% or more of Herbert J. Sims & Co. Inc.
Teksys Corporation
Control person · since July 1970
- Owns 75% or more of Teksys Corporation
William Sims
Control person · since May 1981
Herbert J. Sims Capital Management’s regulatory assets grew 2.5× from $177M (May 2022) to $437M (April 2026); clients rose from 142 to 350 and employees fell from 38 to 30.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | StaffEmployees | Offices |
|---|---|---|---|---|
| Apr 2026April 2026 | $437M | 350 | 30 | 5 |
| Jun 2025June 2025 | $187M | 221 | 30 | 5 |
| Mar 2024March 2024 | $147M | 198 | 30 | 6 |
| Jul 2023July 2023 | $140M | 157 | 32 | 6 |
| May 2022May 2022 | $177M | 142 | 38 | 5 |
Besides its headquarters, Herbert J. Sims Capital Management has 4 offices, with 5 listed addresses across 4 states.
Florida · 2 listed addresses
- 2700 North Military Road, Boca Raton
- 3801 Pga Boulevard, Palm Beach Gardens
Connecticut · 1 listed address
- 2150 Post Road, Suite 301, FairfieldHQ
Minnesota · 1 listed address
- 8300 Normandale Lake BLVD, Bloomington
New Jersey · 1 listed address
- 331 Newmans Spring Road, Redbank
Contact and registration details
- Legal name
- Herbert J. Sims Capital Management, Inc.
- Headquarters
- 2150 Post Road, Suite 301, Fairfield, CT 06824
- Website
- hjsims.com
- Phone
- 203-418-9000
- @herbert-j.-sims-&-co.
- SEC file
- 801-124853
- Structure
- Connecticut corporation
- Fiscal year end
- December
Herbert J. Sims Capital Management’s named custodian for separately managed accounts is Pershing ($437M). Herbert J. Sims Capital Management does not have custody of client assets.
- PershingPershing LLC · Jersey City, NJ · $437M100%
At year end, Herbert J. Sims Capital Management’s separately managed accounts were mostly in stocks (74%) and bonds (12%).
What the accounts hold
- Stocks74%
- Exchange-traded equities73%
- Non-exchange-traded equities1%
- Funds10%
- Bonds12%
- State and local bonds8%
- Investment grade corporate bonds2%
- U.S. government and agency bonds1%
- High-yield corporate bonds1%
- Cash4%
How many clients does Herbert J. Sims Capital Management have?
Herbert J. Sims Capital Management has 350 clients and manages $437 million for them, as of April 2026. They include 256 individual clients, 81 high-net-worth individuals, and 12 corporations and other businesses.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 27 April 2026
What services does Herbert J. Sims Capital Management offer?
Herbert J. Sims Capital Management provides financial planning, portfolio management for individuals and small businesses, selecting other managers, business succession planning, estate planning, insurance, and philanthropic planning.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file; Part 2A brochure, Item 4
How much does Herbert J. Sims Capital Management charge?
Herbert J. Sims Capital Management charges 1.25%–2.50% a year for its HJSCM Managed Portfolio Program (MPP). Each asset band is charged at its own rate. The fee is billed in advance, is negotiable and requires an account of at least $50,000.
Source: HJSCM WRAP FEE PROGRAM BROCHURE-MARCH 31, 2026 FINAL, filed 30 March 2026
Which custodians does Herbert J. Sims Capital Management use?
Herbert J. Sims Capital Management’s separately managed account assets are held at Pershing LLC (Jersey City, NJ), with $437M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 27 April 2026
How many financial advisors does Herbert J. Sims Capital Management have?
Herbert J. Sims Capital Management has 25 investment adviser representatives registered with state securities authorities, out of 30 employees, and 25 perform investment advisory functions. 24 employees are registered representatives of a broker-dealer and 18 employees are licensed insurance agents.
Source: Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file
What does Herbert J. Sims Capital Management invest in?
At the end of its last fiscal year, Herbert J. Sims Capital Management’s separately managed accounts held 73% exchange-traded equities, 10% registered funds (mutual funds, ETFs, BDCs), 8% state and local bonds, 4% cash and equivalents, 2% investment grade corporate bonds, 1% non-exchange-traded equities, 1% U.S. government and agency bonds and 1% high-yield corporate bonds.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Does Herbert J. Sims Capital Management have a minimum investment?
Yes, Herbert J. Sims Capital Management’s minimum account size for its HJSCM Managed Portfolio Program (MPP) is $50K.
Source: HJSCM WRAP FEE PROGRAM BROCHURE-MARCH 31, 2026 FINAL, filed 30 March 2026
Who owns Herbert J. Sims Capital Management?
Herbert J. Sims Capital Management is owned through a chain of holding companies by William Sims. Its direct owner is Herbert J. Sims & Co. Inc. (75% or more).
Source: Form ADV Part 1A, Schedules A and B, filed 27 April 2026
How does Herbert J. Sims Capital Management get paid?
Herbert J. Sims Capital Management is paid through a percentage of assets under management. Its Form ADV lists no commissions or performance-based fees among how it is paid.
Source: Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file
How do I contact Herbert J. Sims Capital Management?
Herbert J. Sims Capital Management’s main office is at 2150 Post Road, Suite 301, Fairfield, CT 06824. Its phone number is 203-418-9000. Its website is hjsims.com.
