HERBERT J. SIMS CAPITAL MANAGEMENT, INC.
SEC RegisteredChanging the Face of Investing
About the firm
As one of America's pioneering financial services firms, HJ Sims is committed to helping individuals and organizations meet the financial challenges of today and tomorrow. Since 1935, HJ Sims has guided clients through an ever-changing financial environment, founded during the Great Depression to develop the country's infrastructure via fixed income investments. From wealth management to investment banking, trading to institutional services, the firm meets its clients' evolving needs.
Firm Focus
Client segments reported on the firm's SEC Form ADV — applies to all advisors at the firm.
Areas of expertise
Services
Private Wealth Management (tailored investment solutions), Investment Banking (flexible financing solutions and capital advisory for non-profit and for-profit organizations), Institutional Sales & Services (diversified portfolio of income securities including tax-exempt and taxable bonds, corporate bonds, and private placements in primary and secondary markets), and Analysis & Commentary (qualitative and quantitative insight, sector outlooks, and market commentary).
Who they serve
High-net-worth and emerging affluent individuals, organizations, municipalities, institutions, registered investment advisors, non-profit and for-profit organizations, and individual investors accumulating wealth.
| Client segment | Clients | Assets managed |
|---|---|---|
| Individuals (Non-HNW) | 256 | $94M |
| High Net Worth Individuals | 81 | $316M |
| Investment Companies | 0 | — |
| Pooled Investment Vehicles | 0 | — |
| Pension/Profit Sharing Plans | 0 | — |
| Charitable Organizations | 0 | — |
| State/Municipal Entities | 1 | — |
| Insurance Companies | 0 | — |
| Sovereign Wealth Funds | 0 | — |
| Corporations | 0 | — |
0 total clients reported on Form ADV.
Leadership
Office locations
Advisors at this firm
37 advisors in the directory
Regulatory & compliance
| Asset tier | Annual rate |
|---|---|
| $50,000 – $500,000 | 2.50% |
| $500,001 – $1,000,000 | 2.00% |
| $1,000,001 – $2,500,000 | 1.75% |
| $2,500,001 – $5,000,000 | 1.50% |
| Over $5,000,001 | 1.25% |
Data as of April 27, 2026 · Source: SEC IAPD & FINRA BrokerCheck
Contact Information
Find an advisor that fits
Search AdvisorFinder's marketplace to compare financial advisors by specialty, location, fees, and more.
This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. HERBERT J. SIMS CAPITAL MANAGEMENT, INC. has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on the SEC or FINRA websites before making any decision.