DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Herbert J. Sims Capital Management, Inc.
Latest filing Apr 27, 2026
First filing on the tape Mar 31, 2022 · 15 filings
SEC status approved since May 2, 2022
RAUM
$437M
reported, Item 5.F
Discretionary
76%
of RAUM
Private clients
94%
$410M individuals and HNW
Advisors
37
registered through the firm on IAPD
RAUM per advisor
$11.8M
derived; firm RAUM over IAPD count
Employees
30
25 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$437M as of Apr 27, 2026
Mar 31, 2023$140M then
HNW client RAUM$316M as of Apr 27, 2026
Mar 31, 2023$67.0M then
State-registered IARs (5.B.3)25 as of Apr 27, 2026
Mar 31, 202322 then
Employees (5.A)30 as of Apr 27, 2026
Mar 31, 202332 then
Private funds: no history
RAUM +134% over the last fiscal year+46% a year over threeIARs 23 to 25
Practice profile
derived from the filing of Apr 27, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $11.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 9derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.9MderivedHNW RAUM over HNW clients
- Average account
- $637,873derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 76%derivedof RAUM
- Institutional
- 0.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.8derivedItem 5.A over advisors
- Advisors per office
- 7.4derived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- +134%derivedbetween the last two annual amendments
- Advisor growth, one year
- +8.7%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +60%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Wrap fee program
- $437MreportedItem 5.I
- Ownership
- controlled by a public reporting companyderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- is an insurance broker or agent (6.A.6)
- has discretionary authority over which securities are bought or sold (8.C.1)
- controlled by a public reporting company (10.A)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$316M72%
- Individuals$93.8M21%
- Corporations and businesses$25.0M5.7%
- Charitable organizations$2.2M0.5%
- Individual clients
- 256reported
- HNW clients
- 81reported
- Pension plan clients
- 0reported
- Charitable clients
- 1reported
- Accounts
- 685reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- $106M sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.94 fund_share=0.0 institutional_share=0.01 related_bd=true related_bank=false bd_reps=24.0derived
Advisors registered through the firm
37 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Peter Julian Dee | Fairfield, Ct | Jan 9, 2008 | 21 y | 2 |
| Jason Howard Diamond | Fairfield, Ct | Oct 23, 2014 | 27 y | 1 |
| Daniel Joseph Mullane | Fairfield, Ct | Jan 16, 2015 | 42 y | 2 |
| Meyer Cheikin | Boca Raton, Fl | Jan 21, 2016 | 42 y | 3 |
| Carlos Ruben Alvarado | Fairfield, Ct | Apr 5, 2016 | 41 y | 1 |
| Shane Alexander Appelbaum | Fairfield, Ct | Mar 8, 2017 | 22 y | 0 |
| Jonathan David Jarow | Boca Raton Fl, Fl | Sep 29, 2017 | 21 y | 0 |
| Clifford David Edelmann | Boca Raton, Fl | Jan 31, 2019 | 15 y | 0 |
| Michael Justin CorbettCertified Financial Planner | Bloomington, Mn | Feb 25, 2019 | 27 y | 1 |
| Elizabeth Barnett Sims | Fairfield, Ct | Jul 29, 2019 | 18 y | 0 |
| David Kenneth Galuskin | Fairfield, Ct | Dec 4, 2019 | 22 y | 0 |
| Geoffrey Todd Von Der Linden | Red Bank, Nj | Feb 13, 2020 | 22 y | 0 |
| Eugene Michael Chyzowych | Fairfield, Ct | Feb 18, 2020 | 32 y | 1 |
| Nicholas Squitieri | Fairfield, Ct | Feb 19, 2020 | 31 y | 0 |
| Rebecca Louise Beckett | Port St. Luci, Fl | Feb 21, 2020 | 18 y | 1 |
| Elizabeth Loretta Teifer | Fairfield, Ct | Jun 12, 2020 | 14 y | 0 |
| Joseph Donald Teifer | Red Bank, Nj | Jul 14, 2020 | 22 y | 0 |
| Andrew Cardella | Red Bank, Nj | Oct 19, 2020 | 14 y | 0 |
| Michael Reed Torre | Fairfield, Ct | Jul 8, 2021 | 28 y | 1 |
| Frank Oscar Curcio | Fairfield, Ct | Jul 8, 2021 | 36 y | 2 |
| Timothy Patrick Garrettson | Stuart, Fl | Jul 20, 2021 | 43 y | 6 |
| Gayl Ann Mileszko | Fairfield, Ct | Aug 9, 2021 | 18 y | 1 |
| Steven Bae Cho | Red Bank, Nj | Aug 18, 2021 | 17 y | 0 |
| Dana Lynn Green | Boca Raton, Fl | Aug 20, 2021 | 23 y | 1 |
| Paul John Dearce | Fairfield, Ct | Sep 9, 2021 | 38 y | 0 |
| Benjamin John Zimmer | Austin, Tx | Apr 4, 2022 | 10 y | 3 |
| Sean Mcgordan Lalljee | Fairfield, Ct | Nov 2, 2022 | 27 y | 1 |
| Michael Braden Golembiesky | Fairfield, Ct | Feb 2, 2023 | 21 y | 2 |
| Karen Degro | Boca Raton, Fl | Oct 17, 2023 | 20 y | 1 |
| Alejandro Michael Viteri | Fairfield, Ct | Jun 28, 2024 | 20 y | 1 |
| Steven Mark Guillotel | Bloomington, Mn | Aug 5, 2024 | 14 y | 1 |
| Timothy Elliott Iltz | Charlotte, Nc | Oct 23, 2024 | 21 y | 3 |
| Gregory Edward Barr | Boca Raton, Fl | Jan 16, 2025 | 35 y | 6 |
| Philip A Pike | Fairfield, Ct | Jan 17, 2025 | 17 y | 2 |
| Joseph Michael Cellitti | Fairfield, Ct | Feb 3, 2025 | 10 y | 2 |
| Steven Charles Sapirstein | Fairfield, Ct | Feb 11, 2025 | 36 y | 5 |
| Mary Ellen Mcfliker | Boca Raton, Fl | Apr 7, 2025 | 28 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount4 left over 36 months
Left, latest
- Stacy Mari Goldsmith to Rpm Capital Management, LLCDec 3, 2024 · RIA to RIA
- Denis Rafael Toth to Commonwealth Financial NetworkApr 15, 2024 · RIA to affiliated broker-dealer or bank
- Roberto Javier Santos Carro to Raymond James Financial Services Advisors, IncApr 12, 2024 · RIA to affiliated broker-dealer or bank
- Jorge Alberto Maldonado to Fsam LLCDec 20, 2023 · RIA to RIA
- Les R Campbell to Morgan StanleyMar 28, 2023 · RIA to wirehouse
- Raul Juan Escudero Villeta to Fsam LLCDec 21, 2022 · RIA to RIA
- Luis Currais Lopez to Fsam LLCNov 21, 2022 · RIA to RIA
- Louis Armand Rodriguez Nader to Fsam LLCOct 7, 2021 · RIA to RIA
- German Ramirezdearellano to Fsam LLCJun 16, 2021 · RIA to RIA
- Jose Ivan Acosta Jordan to Kovack Advisors, Inc.Jun 11, 2021 · RIA to affiliated broker-dealer or bank
- Keith Jarrett Ravodowitz to A.G.P / Alliance Global PartnersAug 31, 2020 · RIA to RIA
- Ashley V Leopold to Ameriprise Financial Services, LLCFeb 4, 2020 · RIA to affiliated broker-dealer or bank
- Roberto Jose Pineda Castellvi to Stonecrest Advisors, Inc.Jan 17, 2020 · RIA to RIA
- Roberto Feria Cestero to Npa Asset Management, LLCJan 17, 2020 · RIA to RIA
- Adrian Andres Fernandez to Stonecrest Advisors, Inc.Aug 5, 2019 · RIA to RIA
Joined, latest
- Steven Charles Sapirstein from Stoever Glass Wealth Management, Inc.Feb 11, 2025 · RIA to RIA
- Joseph Michael Cellitti from Argentis Advisors, Inc.Feb 3, 2025 · Other
- Philip A Pike from Stoever Glass Wealth Management, Inc.Jan 17, 2025 · RIA to RIA
- Gregory Edward Barr from Stoever Glass Wealth Management, Inc.Jan 16, 2025 · RIA to RIA
- Timothy Elliott Iltz from Davidson Investment Advisors, Inc.Oct 23, 2024 · RIA to RIA
- Steven Mark Guillotel from Equitable Advisors, LLCAug 5, 2024 · Affiliated broker-dealer or bank to independent RIA
- Alejandro Michael Viteri from Stoever Glass Wealth Management, Inc.Jun 28, 2024 · RIA to RIA
- Karen Degro from UBS Financial Services Inc.Oct 17, 2023 · Wirehouse to independent RIA
- Michael Braden Golembiesky from Associated Investment Services, Inc.Feb 2, 2023 · RIA to RIA
- Sean Mcgordan Lalljee from Wells Fargo AdvisorsNov 2, 2022 · Wirehouse to independent RIA
- Denis Rafael Toth from Northern Trust Investments, IncorporatedJun 2, 2022 · Other
- Benjamin John Zimmer from Northwestern Mutual Investment Services,LLCApr 4, 2022 · Other
- Dana Lynn Green from Janney Montgomery Scott LLCAug 20, 2021 · Affiliated broker-dealer or bank to independent RIA
- Gayl Ann Mileszko from Braintree Capital Partners, LLCAug 9, 2021 · Other
- Timothy Patrick Garrettson from Oppenheimer & Co. Inc.Jul 20, 2021 · Affiliated broker-dealer or bank to independent RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from Stoever Glass Wealth Management, Inc.Jan 10, 2025 · New York, Ny
- 2 joined from Oppenheimer & Co. Inc.Dec 24, 2020 · North Palm Beach, Fl
- 2 joined from Oppenheimer & Co. Inc.Jan 24, 2020 · North Palm Beach, Fl
- 2 joined from Santander SecuritiesFeb 12, 2018 · Santurce, Pr
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Howard Jason Diamond · Chief Financial Officercontrolsince 06/2007 · owns less than 5%
- David Jonathan Jarow · Managing Directorcontrolsince 10/2022 · owns less than 5%
- William John Koene · Managing Directorcontrolsince 10/2022 · owns less than 5%
- Barnett William Sims · Ceocontrolsince 11/1995 · owns less than 5%
- Barnett William Sims · Shareholdercontrolsince 05/1981 · owns 75% or more of Teksys Corporation
- Valerie Hebert · Chief Compliance Officersince 09/2019 · owns less than 5%
Entity owners
- Herbert J. Sims & Co. Inc. · Shareholderdirect · owns 75% or more
- Teksys Corporation · Shareholderindirect · owns 75% or more of Herbert J. Sims & Co. Inc.
Related persons
Schedule D 7.A
- Herbert J. Sims & Co, Inc.broker-dealery
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Fairfield, Ct · principal | 35 | 0 | 0 | ||
| Boca Raton, Fl | 9 | 0 | 0 | ||
| Red Bank, Nj | 8 | 0 | 0 | ||
| Bloomington, Mn | 3 | 0 | 0 | ||
| Palm Beach Gardens, Fl | 2 | 0 | 0 | ||
| Austin, Tx | 2 | 0 | 0 | ||
| Austin,, Tx | 0 | 0 | 0 | ||
| Guaynabo, Pr | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Redbank, NJ8 employees
- Boca Raton, FL7 employees
- Jupiter, FL4 employees
- Bloomington, MN2 employees
- Guaynabo, PR1 employees
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- account count surgeChange between filings · filing Apr 27, 2026accounts (Item 5.F.2.f) moved from 374.0 to 685.0 (+83.0%) between the annual amendments of 2025-03-27 and 2026-04-27; the peer median change was +5.0% (3688 comparable advisers, 97.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,688) · 97% percentile
- client count surgeChange between filings · filing Apr 27, 2026individual and HNW clients (Item 5.D) moved from 211.0 to 337.0 (+60.0%) between the annual amendments of 2025-03-27 and 2026-04-27; the peer median change was +3.0% (3310 comparable advisers, 98.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,310) · 98% percentile
- RAUM up 50 %Change between filings · filing Apr 27, 2026RAUM (Item 5.F) moved from $186,784,367 to $436,943,333 (+134.0%) between the annual amendments of 2025-03-27 and 2026-04-27; the peer median change was +15.0% (4551 comparable advisers, 99.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,551) · 99% percentile
What changed
consecutive filings, newest first
- Accounts · 374 to 685Oct 23, 2025 to Mar 30, 2026
- Advisory employees · 24 to 25Oct 23, 2025 to Mar 30, 2026
- BD registered reps · 23 to 24Oct 23, 2025 to Mar 30, 2026
- Corporate clients · 9 to 12Oct 23, 2025 to Mar 30, 2026
- HNW clients · 39 to 81Oct 23, 2025 to Mar 30, 2026
- Individual clients · 172 to 256Oct 23, 2025 to Mar 30, 2026
- State-registered IARs · 23 to 25Oct 23, 2025 to Mar 30, 2026
- Discretionary RAUM · $153M to $331MOct 23, 2025 to Mar 30, 2026
- HNW RAUM · $108M to $316MOct 23, 2025 to Mar 30, 2026
- Individual RAUM · $59.8M to $93.8MOct 23, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $34.3M to $106MOct 23, 2025 to Mar 30, 2026
- RAUM · $187M to $437MOct 23, 2025 to Mar 30, 2026
- Wrap assets (sponsor) · $34.3M to $106MOct 23, 2025 to Mar 30, 2026
- Financial planning clients · 1-10 to 1-10Mar 27, 2025 to Jun 10, 2025
- Accounts · 333 to 374Feb 19, 2025 to Mar 27, 2025
- Advisory employees · 21 to 24Feb 19, 2025 to Mar 27, 2025
- Advisory activities · 2 to 3Feb 19, 2025 to Mar 27, 2025
- Corporate clients · 5 to 9Feb 19, 2025 to Mar 27, 2025
- Individual clients · 153 to 172Feb 19, 2025 to Mar 27, 2025
- Financial planning clients · 0 to 1-10Feb 19, 2025 to Mar 27, 2025
- State-registered IARs · 21 to 23Feb 19, 2025 to Mar 27, 2025
- Discretionary RAUM · $121M to $153MFeb 19, 2025 to Mar 27, 2025
- HNW RAUM · $83.9M to $108MFeb 19, 2025 to Mar 27, 2025
- Individual RAUM · $48.9M to $59.8MFeb 19, 2025 to Mar 27, 2025
- Non-discretionary RAUM · $25.4M to $34.3MFeb 19, 2025 to Mar 27, 2025
- RAUM · $147M to $187MFeb 19, 2025 to Mar 27, 2025
- Wrap assets (sponsor) · $25.4M to $34.3MFeb 19, 2025 to Mar 27, 2025
- Other offices · 5 to 4Jan 13, 2025 to Feb 19, 2025
- Accounts · 272 to 333Jul 5, 2023 to Mar 28, 2024
- Advisory employees · 23 to 21Jul 5, 2023 to Mar 28, 2024
- BD registered reps · 32 to 23Jul 5, 2023 to Mar 28, 2024
- Charity clients · 0 to 1Jul 5, 2023 to Mar 28, 2024
- Corporate clients · 9 to 5Jul 5, 2023 to Mar 28, 2024
- HNW clients · 28 to 39Jul 5, 2023 to Mar 28, 2024
- Individual clients · 118 to 153Jul 5, 2023 to Mar 28, 2024
- Pension plan clients · 2 to 0Jul 5, 2023 to Mar 28, 2024
- Employees · 32 to 30Jul 5, 2023 to Mar 28, 2024
- State-registered IARs · 22 to 21Jul 5, 2023 to Mar 28, 2024
- Discretionary RAUM · $104M to $121MJul 5, 2023 to Mar 28, 2024
- HNW RAUM · $67.0M to $83.9MJul 5, 2023 to Mar 28, 2024
Signals
13 dated events
- Herbert J. Sims Capital Management, Inc. reported RAUM $436.9M, up 134% from $186.8M (2025-10-23 to 2026-03-30)Mar 30, 2026 · RAUM change · derived
- 2 advisors left Stoever Glass Wealth Management, Inc. (New York, NY) for Herbert J. Sims Capital Management, Inc. within 3 daysJan 10, 2025 · Team lift-out · derived
- Stacy Mari Goldsmith left Herbert J. Sims Capital Management, Inc. for Rpm Capital Management, Llc (registered 2026-02-19)Dec 3, 2024 · Advisor changed firm · fact
- Denis Rafael Toth left Herbert J. Sims Capital Management, Inc. for Commonwealth Financial Network (registered 2024-09-19)Apr 15, 2024 · Advisor changed firm · fact
- Roberto Javier Santos Carro left Herbert J. Sims Capital Management, Inc. for Raymond James Financial Services Advisors, Inc (registered 2024-04-12)Apr 12, 2024 · Advisor changed firm · fact
- Jorge Alberto Maldonado left Herbert J. Sims Capital Management, Inc. for Fsam Llc (registered 2024-01-19)Dec 20, 2023 · Advisor changed firm · fact
- Herbert J. Sims Capital Management, Inc. reported 22 state-registered advisory representatives, down from 36 (2022-05-19 to 2023-03-31)Mar 31, 2023 · Advisor headcount change · derived
- David Jonathan Jarow (Managing Director) appeared on Schedule A of Herbert J. Sims Capital Management, Inc.Mar 31, 2023 · Control person joined · fact
- William John Koene (Managing Director) appeared on Schedule A of Herbert J. Sims Capital Management, Inc.Mar 31, 2023 · Control person joined · fact
- Les R Campbell left Herbert J. Sims Capital Management, Inc. for Morgan Stanley (registered 2023-03-30)Mar 28, 2023 · Advisor changed firm · fact
- Raul Juan Escudero Villeta left Herbert J. Sims Capital Management, Inc. for Fsam Llc (registered 2023-01-20)Dec 21, 2022 · Advisor changed firm · fact
- Luis Currais Lopez left Herbert J. Sims Capital Management, Inc. for Fsam Llc (registered 2022-11-30)Nov 21, 2022 · Advisor changed firm · fact
- Herbert J. Sims Capital Management, Inc. filed its initial SEC registration (Form ADV)Mar 31, 2022 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business phone
- 203-256-2377reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 203-418-9083reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 201-307-9383reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/herbert-j.-sims-&-co.reportedpublic record, Form ADV, Sep 17, 2026
- Website
- hjsims.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 203-418-9000reportedpublic record, Form ADV, Apr 27, 2026
- Contact form
- hjsims.com/contact-usreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- hjsims.com/about-us/leadershipreportedpublished by the firm, firm site, Sep 15, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $11.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026