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HERBERT J. SIMS CAPITAL MANAGEMENT, INC.

FAIRFIELD, CT · CRD 134510 · IAPD ↗ · hjsims.com · 203-418-9000

$436.9MRegulatory AUM
25Advisory reps
30Employees
0Clients
1-10Planning clients
0Private funds
13States
7Disclosures
wealthSegment
ApprovedSEC status

Filing changes

73
April 2026 — HERBERT J. SIMS CAPITAL MANAGEMENT, INC. reported RAUM up 134% ($186.8M -> $436.9M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
50
December 2025 — HERBERT J. SIMS CAPITAL MANAGEMENT, INC.'s Item 11 disclosure-reporting entries rose by 1 (6 -> 7).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
50
July 2025 — HERBERT J. SIMS CAPITAL MANAGEMENT, INC.'s Item 11 disclosure-reporting entries rose by 1 (5 -> 6).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
50
April 2025 — HERBERT J. SIMS CAPITAL MANAGEMENT, INC.'s Item 11 disclosure-reporting entries rose by 1 (4 -> 5).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
58
April 2025 — HERBERT J. SIMS CAPITAL MANAGEMENT, INC. reports 1-10 financial-planning clients, up from 0.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
60
April 2025 — HERBERT J. SIMS CAPITAL MANAGEMENT, INC. reported RAUM up 27% ($146.7M -> $186.8M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
75
April 2025 — HERBERT J. SIMS CAPITAL MANAGEMENT, INC. now offers financial planning (Item 5G(1)).
Firm now reports offering financial planning (Item 5G(1)). They need planning software.
Financial planning softwareCRM
42
March 2025 — HERBERT J. SIMS CAPITAL MANAGEMENT, INC. notice-filed in CA.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
44
February 2025 — HERBERT J. SIMS CAPITAL MANAGEMENT, INC. notice-filed in LA, NH.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.