SourcingSourcing

HERBERT J. SIMS CAPITAL MANAGEMENT, INC.

C40
CRD 134510·SEC 801-124853·FAIRFIELD, CT
AUM
$436.9M
$100M-$500M
Est. Revenue
$4.4M
@ 1% on AUM
Est. EBITDA
$1.3M
@ 30% margin
Est. Deal Value
$10.5M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
HERBERT J. SIMS CAPITAL MANAGEMENT, INC.
CRD
134510
SEC file #
801-124853
EIN
—
DBA names
—

Economics

AUM
$436.9M
AUM band
$100M-$500M
AUM trajectory
'23'26
$177.1M → $436.9M▲ +147%
Client mix
Individuals Other256
Individuals High Net Worth81
Corporations12
Charitable Organizations1

Operations

Employees (total)
30
Advisory staff (per ADV)
25
Advisory staff (5-yr trend)
'23'26
25 advisors → 25 advisors▬ 0%
Primary office
FAIRFIELD CT
Branches
—

Custodian & Brokerage

Primary custodian
Pershinglow confidence
Services offered
Financial planningPortfolio mgmt — individualsSelection of other advisers
Fee basis
% of AUM

Filings

Latest ADV filing
04/27/2026
ADV-W filed at
—
Website
hjsims.com

Compliance

Disclosures (firm)
6
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
HERBERT J. SIMS & CO. INC.
Top Owner Pct
87.5
Top Owner Entity Kind
DE
Owner Count
6
Control Persons
HERBERT J. SIMS & CO. INC.
DIAMOND, JASON, HOWARD
Solo Advisor Indicator
No
Succession Risk Solo Owner
No
Is Parent Owned Subsidiary
Yes

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
ok
Rdap Domain
HJSIMS.COM
Rdap Domain Creation Date
1995-07-25T04:00:00Z
Rdap Firm Age Years
31
Rdap Firm Age Band
20+y
Rdap Registrar
Amazon Registrar, Inc.

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No

SEC EDGAR

Edgar Registered
No

Compliance & brand

Firm Registration Status
active

All other collected signals (13)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
36
Bc Firm Active IA Count
37
Bc Firm IAR Count
37
Custodian Candidates
Full
Pershing4
E*trade4
Firm Has Custody
No
Mailing Office Differs
No
Rdap Domain Expiration Date
2026-09-03T03:59:59Z
Rdap Domain Last Changed
2026-05-19T17:21:24Z
Rdap Nameservers
Ns-1006.awsdns-61.netNs-1504.awsdns-60.orgNs-2014.awsdns-59.co.ukNs-89.awsdns-11.com
Rdap Secure Dns Enabled
No
Rdap Status
Client Transfer Prohibited
Trust Company Affiliate
No

People (39)

39
SIMS, ELIZABETH, BARNETT
IAR · Executive Officer · 2.5%
5000820
JAROW, JONATHAN, DAVID
IAR · Executive Officer · 2.5%
4931964
DIAMOND, JASON, HOWARD
IAR · Executive Officer · 2.5%
2320884
Valerie Hebert
Executive Officer · 2.5%
4007252
john william Koene
Executive Officer · 2.5%
5456931
ANDREW CARDELLA
IAR
6041423
GAYL ANN MILESZKO
IAR
2488865
PAUL JOHN DEARCE
IAR
1780885
PETER JULIAN DEE
IAR
4982628
DANIEL JOSEPH MULLANE
IAR
1246435
JOSEPH DONALD TEIFER
IAR
4837464
REBECCA LOUISE BECKETT
IAR
5417719
SHANE ALEXANDER APPELBAUM
IAR
4772668
Dana Lynn Green
IAR
2237645
ELIZABETH LORETTA TEIFER
IAR
6009776
CLIFFORD DAVID EDELMANN
IAR
5856311
GEOFFREY TODD VON DER LINDEN
IAR
4819976
EUGENE MICHAEL CHYZOWYCH
IAR
2421504
CARLOS RUBEN ALVARADO
IAR
1329628
Benjamin John Zimmer
IAR
6875506
Michael Reed Torre
IAR
2468367
TIMOTHY ELLIOTT ILTZ
IAR
3085547
PHILIP A PIKE
IAR
5695273
MARY ELLEN MCFLIKER
IAR
2366968
Steven Mark Guillotel
IAR
7715346
JOSEPH MICHAEL CELLITTI
IAR
6356889
MICHAEL BRADEN GOLEMBIESKY
IAR
4498169
STEVEN BAE CHO
IAR
2610257
FRANK OSCAR CURCIO
IAR
1333481
MICHAEL JUSTIN CORBETT
IAR
2958145
STEVEN CHARLES SAPIRSTEIN
IAR
2014526
KAREN DEGRO
IAR
5048237
David Kenneth Galuskin
IAR
3034250
GREGORY EDWARD BARR
IAR
1312703
ALEJANDRO MICHAEL VITERI
IAR
5129272
NICHOLAS SQUITIERI
IAR
2436788
SEAN MCGORDAN LALLJEE
IAR
3112655
TIMOTHY PATRICK GARRETTSON
IAR
871896
MEYER CHEIKIN
IAR
869974