# HERBERT J. SIMS CAPITAL MANAGEMENT, INC.

HERBERT J. SIMS CAPITAL MANAGEMENT, INC. of FAIRFIELD, CT is an SEC-registered investment adviser.

## Registration

- CRD: 134510
- Type: SEC-registered investment adviser
- SEC file number: 801-124853
- Location: 2150 POST ROAD, SUITE 301, FAIRFIELD, CT, 06824
- Phone: 203-418-9000
- Latest filing: 2026-04-27
- Regulatory AUM: $436.9M
- Discretionary AUM: $330.7M
- Non-discretionary AUM: $106.2M
- Clients: 30
- Accounts: 685

## Business model

- Compensation: % of AUM
- Clients served: Individuals, High net worth, Charities

## Officers, owners & control persons (11)

| Name | Role | Location |
| --- | --- | --- |
| William Barnett Sims | CEO; OWNER; SHAREHOLDER | — |
| Jason Howard Diamond | CHIEF FINANCIAL OFFICER | — |
| Valerie Hebert | CHIEF COMPLIANCE OFFICER | — |
| Jonathan David Jarow | MANAGING DIRECTOR | — |
| John William Koene | MANAGING DIRECTOR | — |
| Elizabeth Barnett Sims | MANAGING PRINCIPAL | — |
| DIAMOND JASON HOWARD | CHIEF FINANCIAL OFFICER | — |
| SIMS WILLIAM BARNETT | CEO; SHAREHOLDER | — |
| Hebert Valerie | CHIEF COMPLIANCE OFFICER | — |
| JAROW JONATHAN DAVID | MANAGING DIRECTOR | — |
| Koene john william | MANAGING DIRECTOR | — |


## Disclosures (29)

| Initiated | Type | Allegations | Status | Amount |
| --- | --- | --- | --- | --- |
| 2021-07-30 | regulatory | — | — | — |
| 2021-04-21 | regulatory | BETWEEN 2016 AND 2019, FINRA CONTENTS THAT HJS FAILED TO ESTABLISH AND IMPLEMENT AN AMLPROGRAM REASONABLY DESIGNED TO DETECT AND CAUSE THE REPORTING OF SUSPICIOUS CYBER-EVENTS ASTHE FIRM DID NOT REFERENCE ANY REQUIREMENT TO REVIEW CYBER-EVENTS FOR AML PURPOSE NOR HAD APROCESS IN PLACE FOR CONDUCTING… | Final | $100K |
| 2018-11-27 | regulatory | — | — | — |
| — | regulatory | — | — | — |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/134510/brochure
- Similar advisers: https://search.stillhousedata.com/firm/134510/similar
- Related entities: https://search.stillhousedata.com/firm/134510/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/134510

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Source: public SEC Form ADV data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.