This is a profile preview from the AdvizorPro Platform.
Request a Free TrialFirm Details
- Custodian
- Pershing
- Clients
- Retail and Institutional
- Platforms
- HorizonPathway
- Established Date
- 04-13-2007
- Office Locations
- 14
Office Locations
About Herbert J. Sims Capital Management, Inc.
Herbert J. Sims Capital Management is a Fairfield, CT-based RIA serving retail and institutional investors, with a focus on business owners, entrepreneurs and other accredited clients. The firm provides financial planning and portfolio construction alongside discretionary asset management, using ETF- and public-fund portfolios complemented by fixed income and select alternatives. Custody is primarily through Pershing, and it supports Envestnet/Tamarac workflows.
Team overview
Insights
Asset Classes
Client Personas
Custodian
Investment Themes
Investment Vehicles
Platform
Services
Technology
Owner & Executives
JASON HOWARD DIAMOND
Chief Financial Officer, Principal
- CRD
- #2320884
- Ownership
- Less than 5%
Valerie Hebert
Chief Compliance Officer
- CRD
- #4007252
- Ownership
- Less than 5%
Foundation capital
Ember capital prime
- CRD
- #71476
- Ownership
- 9.9%
Showing 2 of 5 owners & executives
Unlock allContacts
CARLOS RUBEN ALVARADO
Vice President
- CRD
- #1329628
SHANE ALEXANDER APPELBAUM
--
- CRD
- #4772668
Pathway matrix
Horizon ridge frontier
- CRD
- #55452
Showing 2 of 40 contacts
Unlock allAssets Under Management
| Category | Assets | AVG. Account size |
|---|---|---|
| Discretionary | $330,704,528 | $700,645 |
| Non-Discretionary | $106,238,805 | $498,774 |
| Total | $436,943,333 | $637,873 |
Want deeper insight
into 45,000+ RIAs?
What you're seeing here is just the starting point.
Separately Managed Accounts
Total SMA Asset: $436,943,333
| Asset class | Assets | Assets % |
|---|---|---|
| Equity - Exchange | $477,069,346 | 12.9% |
| Public Funds | $654,583,521 | 17.7% |
| Municipal Bonds | $384,614,046 | 10.4% |
| Cash | $269,969,475 | 7.3% |
| Corporate - Investment Grade | $613,903,189 | 16.6% |
| Corporate - Non-Investment Grade | $543,637,161 | 14.7% |
| Equity - OTC | $325,442,654 | 8.8% |
| U.S. Government/Agency | $428,992,589 | 11.6% |
| Total | $3,698,211,981 | 100.0% |