HERBERT J. SIMS CAPITAL MANAGEMENT, INC. of FAIRFIELD, CT is an SEC-registered investment adviser (CRD 134510). Regulatory assets under management: $436.9M.
Compensation: % of AUM.
Clients served: Individuals, High net worth, Charities.
| 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 | — |
| 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 | — | — | — |
| City | State | Employees | Phone |
|---|---|---|---|
| BOCA RATON | FL | 8 | 561-620-2121 |
| REDBANK | NJ | 6 | 732-590-0500 |
| PALM BEACH GARDENS | FL | 4 | (561) 620-2180 |
| BLOOMINGTON | MN | 2 | 952-683-7500 |