Herbert J. Sims Capital Management, Inc.
- Regulatory AUM
- $437M
- Discretionary
- $331M
- Clients
- 350
- Avg AUM / client
- $1.2M
- Accounts
- 685
- Employees
- 30
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Apr 27, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 256 | $93.8M | 21.5% |
| High net worth individuals | 81 | $316M | 72.3% |
| Charitable organizations | 1 | $2.2M | 0.51% |
| Corporations and other businesses | 12 | $25.0M | 5.73% |
People (41)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Sims, William, Barnett | Ceo | May 1981 (45y) | ≈ 42.19% – 100% via Teksys Corporation | |
| Jason Howard Diamond | Chief Financial Officer | Jun 2007 (19y) | Less than 5% | |
| Jonathan David Jarow | Managing Director | Sep 2017 (9y) | Less than 5% | |
| Hebert, Valerie | Chief Compliance Officer | Sep 2019 (7y) | Less than 5% | |
| Koene, John, William | Managing Director | Oct 2022 (4y) | Less than 5% | |
| Peter Julian Dee | Registered representative | Jan 2008 (19y) | ||
| Daniel Joseph Mullane | Registered representative | Jan 2015 (12y) | ||
| Meyer Cheikin | Registered representative | Jan 2016 (11y) | ||
| Carlos Ruben Alvarado | Registered representative | Apr 2016 (10y) | ||
| Shane Alexander Appelbaum | Registered representative | Mar 2017 (9y) | ||
| Clifford David Edelmann | Registered representative | Jan 2019 (8y) | ||
| Michael Justin Corbett | Registered representative | CFP | Feb 2019 (7y) | |
| Elizabeth Barnett Sims | Registered representative | Jul 2019 (7y) | ||
| David Kenneth Galuskin | Registered representative | Dec 2019 (7y) | ||
| Geoffrey Todd Von Der Linden | Registered representative | Feb 2020 (6y) | ||
| Eugene Michael Chyzowych | Registered representative | Feb 2020 (6y) | ||
| Nicholas Squitieri | Registered representative | Feb 2020 (6y) | ||
| Rebecca Louise Beckett | Registered representative | Feb 2020 (6y) | ||
| Elizabeth Loretta Teifer | Registered representative | Jun 2020 (6y) | ||
| Joseph Donald Teifer | Registered representative | Jul 2020 (6y) | ||
| Andrew Cardella | Registered representative | Oct 2020 (6y) | ||
| Frank Oscar Curcio | Registered representative | Jul 2021 (5y) | ||
| Michael Reed Torre | Registered representative | Jul 2021 (5y) | ||
| Timothy Patrick Garrettson | Registered representative | Jul 2021 (5y) | ||
| Gayl Ann Mileszko | Registered representative | Aug 2021 (5y) | ||
| Steven Bae Cho | Registered representative | Aug 2021 (5y) | ||
| Dana Lynn Green | Registered representative | Aug 2021 (5y) | ||
| Paul John Dearce | Registered representative | Sep 2021 (5y) | ||
| Benjamin John Zimmer | Registered representative | Apr 2022 (4y) | ||
| Sean Mcgordan Lalljee | Registered representative | Nov 2022 (4y) | ||
| Michael Braden Golembiesky | Registered representative | Feb 2023 (4y) | ||
| Karen Degro | Registered representative | Oct 2023 (3y) | ||
| Alejandro Michael Viteri | Registered representative | Jun 2024 (2y) | ||
| Steven Mark Guillotel | Registered representative | Aug 2024 (2y) | ||
| Timothy Elliott Iltz | Registered representative | Oct 2024 (2y) | ||
| Gregory Edward Barr | Registered representative | Jan 2025 (2y) | ||
| Philip A Pike | Registered representative | Jan 2025 (2y) | ||
| Joseph Michael Cellitti | Registered representative | Feb 2025 (2y) | ||
| Steven Charles Sapirstein | Registered representative | Feb 2025 (1y) | ||
| Mary Ellen Mcfliker | Registered representative | Apr 2025 (1y) | ||
| Daniel Gerard De Almeida | Registered representative | Jun 2026 (0y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Herbert J. Sims & Co. Inc. | Shareholder | Nov 1995 | A | 75% or more |
| Teksys Corporation | Shareholder | Jul 1970 | B | ≈ 56.25% – 100% via Herbert J. Sims & Co. Inc. |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Sims, William, Barnett: 75% – 100% of Teksys Corporation × 75% – 100% of Herbert J. Sims & Co. Inc. × 75% – 100% direct ≈ 42.19% – 100% of the firm
- Teksys Corporation: 75% – 100% of Herbert J. Sims & Co. Inc. × 75% – 100% direct ≈ 56.25% – 100% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 04/27/2026 | 1.36 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
Allegations: 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 REVIEWS OF SUCH EVENTS. THE FIRM'S IT DEPARTMENT CONDUCTEDFORENSIC INVESTIGATIONS OF EACH OF THE FIVE EVENTS THAT OCCURRED DURING THE PERIOD BUT THEFIRM DID NOT RECOGNIZE AT THE TIME THAT THE NATURE OF THE INCIDENTS AND THE ASSETS PUT AT RISKPOTENTIALLY NECESSITATED THE FILING OF SARS. THE FIRM HAS SUBSEQUENTLY AMENDED ITS AMLPROGRAM. Status: Final Sanction Detail: $100,000-PAYMENT WAS SENT ON 1/31/2023 Summary: $100,000-PAYMENT WAS SENT ON 1/31/2023
Disclosure text reproduced verbatim from the firm's own Form ADV filings.
How they charge
- • Percentage of assets under management
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Selection of other advisers
Custody
Reported custodians
- Pershing $437M (100% of AUM) Apr 2026
- Charles Schwab & Co. $451K (0% of AUM) Jul 2023
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Apr 27, 2026.
View current Form ADV (SEC/IAPD) ↗