Herbert J. Sims Capital Management, Inc.

Overview

Herbert J. Sims Capital Management, Inc. is an SEC registered investment adviser based in Fairfield, CT, registered since 2005. It reports $437M in assets under management across 685 accounts, with 30 employees. It has 37 investment adviser representatives.

Reported AUM

$437M

Discretionary

76%

Accounts

685

Average account

$638K

Employees

30

Advisory reps

37

Registered since

2005

Jurisdictions

13

As reported in the firm's April 2026 filing.

Contact

1 phone number on file

Practice

Services

• Financial Planning
• Individuals or Small Business
• Selection of Other Advisors

Client types

• Charities and Non-Profits
• Corporations/Businesses
• High Net Worth Individuals
• Individuals

Fee structure

Percentage of Assets. Sponsors a wrap fee program.

Executive officers 3 of 5

• Elizabeth Barnett Sims Managing Principal CRD 5000820
• John William Koene Managing Director CRD 5456931
• Jonathan David Jarow Managing Director CRD 4931964

2 more executive officers, with direct contact details

Advisory reps 3 of 37

• Carlos Ruben Alvarado Registered Rep · Investment Adviser Rep CRD 1329628
• Shane Alexander Appelbaum Registered Rep · Investment Adviser Rep CRD 4772668
• Gregory Edward Barr Investment Adviser Rep CRD 1312703

34 more advisory reps, with emails, phones and branch locations

Location

Headquarters

2150 Post Rd Fl 301
Fairfield, CT 06824

County

Greater Bridgeport

Metro area

Bridgeport-Stamford-Norwalk, CT

Region

Northeast

Registrations

• SEC registered
• Registered in 13 jurisdictions
• Website: hjsims.com

Every state, with registration dates

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