This is a profile preview from the AdvizorPro Platform.
Request a Free TrialFirm Details
- Custodian
- Pershing
- Clients
- Retail and Institutional
- Platforms
- Available in AdvizorPro
- Established Date
- 04-13-2007
- Office Locations
- 16
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.
Reported data analysis
What the numbers show
Between October 23, 2025 and April 27, 2026, reported AUM increased 133.9%, from $186.8M to $436.9M.
Across 5 reported observations, AUM increased 146.8% between May 19, 2022 and April 27, 2026, from $177.1M to $436.9M.
Of the latest reported AUM, 75.7% is discretionary and 24.3% is non-discretionary.
The firm reports 25 advisory representatives and 350 clients, or 14 clients per representative. That equates to $1.2M in reported AUM per client.
The profile lists 16 reported office locations and 19 years in operation. The source data was last updated on April 27, 2026. Figures reflect reported regulatory data and may not include subsequent changes.
Team overview
Additional firm insights
Explore the complete firm intelligence record
AdvizorPro subscribers can review Herbert J. Sims Capital Management, Inc.'s detailed market signals, platform relationships, investment themes, and prospecting intelligence in one place.
Available data coverage
- Asset Classes
- Client Personas
- Custodian
- Investment Themes
- Investment Vehicles
- Platform
- Services
- Technology
Unlock the underlying categories and values
The full Herbert J. Sims Capital Management, Inc. record includes the detailed values behind these data categories, along with filters and export-ready prospecting fields.
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%
Showing 2 of 5 owners & executives
Unlock allContacts
CARLOS RUBEN ALVARADO
Vice President
- CRD
- #1329628
SHANE ALEXANDER APPELBAUM
Director - Investments | Private Wealth Advisor
- CRD
- #4772668
Showing 2 of 39 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
SMA allocation detail is available
Herbert J. Sims Capital Management, Inc. has reported separately managed account data across 8 asset classes. AdvizorPro provides the associated asset values, allocation percentages, and exportable breakdown.