HERBERT J. SIMS CAPITAL MANAGEMENT, INC.
Compensation Model
Compensation type disclosed on SEC Form ADV Item 5C. Filed 46139. Specific fee percentages are available in this firm's Form ADV Part 2A brochure at adviserinfo.sec.gov.
Conflict of Interest Analysis
Broker-Dealer Affiliated: No
No broker-dealer affiliation. Lower risk of commission-driven advice.
Insurance Licensed: No
Not insurance licensed. Cannot sell you annuity or insurance products directly.
Custody of Client Assets: No
Assets held at an independent custodian (e.g., Schwab, Fidelity, TD Ameritrade). This is the standard, lower-risk arrangement.
Proprietary Products: No
Uses only third-party investment products. No proprietary product conflicts.
Regulatory & Disciplinary History
2 customer complaint(s)/arbitration(s) disclosed on Form ADV Item 11.
ResolvedTotal complaints on record: 2
Complaint ratio: 8.00 per 100 clients
Industry average is approximately 0.15 complaints per 100 clients. A ratio above 0.30 is considered elevated.
Firm Details
| Legal Name | HERBERT J. SIMS CAPITAL MANAGEMENT, INC. |
| CRD Number | #134510 |
| SEC Registered | Yes |
| Registration Date | 2022-05-02 |
| States Registered | CT |
| Assets Under Management | $437M |
| Number of Clients | 25 |
| Employees | 30 |
| Compensation Type | fee-only |
| Last ADV Filing | 46139 |
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Frequently Asked Questions
Is HERBERT J. SIMS CAPITAL MANAGEMENT, INC. a fiduciary?
Yes. HERBERT J. SIMS CAPITAL MANAGEMENT, INC. is a registered investment adviser (RIA) with the SEC, which means they are legally required to act as a fiduciary — putting your interests ahead of their own.
How does HERBERT J. SIMS CAPITAL MANAGEMENT, INC. charge clients?
HERBERT J. SIMS CAPITAL MANAGEMENT, INC. uses a fee-only compensation model. Full fee details are in their Form ADV Part 2A brochure at adviserinfo.sec.gov.
Does HERBERT J. SIMS CAPITAL MANAGEMENT, INC. have any complaints?
Yes. HERBERT J. SIMS CAPITAL MANAGEMENT, INC. has 2 complaint(s) on record. Their complaint ratio is 8.00 per 100 clients (industry average: ~0.15).
How does HERBERT J. SIMS CAPITAL MANAGEMENT, INC. compare to other advisors in FAIRFIELD?
HERBERT J. SIMS CAPITAL MANAGEMENT, INC. has a Red Flag Score of 84/100. There are 4 registered advisory firms in FAIRFIELD. Use our city page to compare firms side by side.
Where does this data come from?
All information is sourced from SEC Form ADV public filings (mandatory regulatory disclosures) and FINRA BrokerCheck records. Last updated: 2026-06-24. We do not accept payment from financial advisors.
Data source: SEC Form ADV (Parts 1 and 2A) filed with the Investment Adviser Registration Depository (IARD). Filing date: 46139. Last data refresh: 2026-06-24. AdvisorRanked does not verify the accuracy of SEC filings. This is not financial advice.