Herbert J. Sims Capital Management, Inc.

RIASEC Registered
Total AUM
$437M
Discretionary
$331M
76% of AUM
Avg account
$638K
Accounts
685
Employees
30
Advisory reps
39

Firm details

Headquarters
Fairfield, Connecticut
CRD number
134510
Registered since
May 2, 2022
Website
hjsims.com
Custodians
PERSHING LLC
Fee structure
Percentage of AUM
Client types
  • HNWI72.28%
  • Individuals21.48%
  • Corporations / Businesses5.73%
  • Charitable Organizations0.51%
Services
Financial PlanningPortfolio Management for IndividualsSelection of Other Advisers

Firm profile

FINTRX

Overview

Herbert J. Sims Capital Management, Inc. is an independent registered investment adviser organized as a corporation. The firm is SEC-registered (registration year 2022) and describes itself as a capital allocator that serves both individual and family clients as well as institutional clients. It charges fees as a percentage of assets under management and combines portfolio management and financial planning services with the ability to select and allocate to third‑party managers. The firm also operates as an insurance broker and maintains industry relationships that include broker‑dealer and registered municipal advisor affiliations. The firm does not identify as an active ESG investor.

Assets & Accounts

Public Holdings

Investments & Alternatives

Location & Offices

Investment profile

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Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

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CRM & tech providers

TAMPs used

Clients

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Client base

Client personas

Asset composition

Asset composition: Exchange Traded Equities 73%, Public Funds/Mutual Funds 10%, State & Local Bonds 8%, Cash & Cash Equivalents 4%, Investment Grade Corp Bonds 2%, Non-Exchange Traded Equities 1%, US Government Bonds 1%, Non-Investment Grade Corp Bonds 1%73%
  • Exchange Traded Equities73%
  • Public Funds/Mutual Funds10%
  • State & Local Bonds8%
  • Cash & Cash Equivalents4%
  • Investment Grade Corp Bonds2%

Owners & executives

1 of 1
  • Valerie Hebert

    Valerie Hebert

    Chief Compliance OfficerCRD 4007252

Contacts

3 of 38
  • Philip Pike

    Investment AdvisorCRD 5695273

  • Clifford Edelmann

    Clifford Edelmann

    Senior Vice PresidentCRD 5856311

  • Michael Golembiesky

    Michael Golembiesky

    Senior VPCRD 4498169

Unlock 35 more contacts →

Wealth teams

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Newly hired reps

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Recent M&A activity

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Recent filings

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Awards

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Location

Primary office

Fairfield, CT

Fairfield

Location

Fairfield, CT

Headquartered in Fairfield, CT, anchoring the New York-Newark, NY-NJ-CT-PA metro in the Northeast.

Metro area
New York-Newark, NY-NJ-CT-PA
Region
Northeast
County
Fairfield
Address
2150 Post Rd
Time zone
ET (UTC-5)
Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth