Firm Information

Compensation
Fee-Only (AUM)
Number of Advisors
38 advisors
Number of Clients
221 clients
Average Client Portfolio
$845K average
Assets Under Management
$186.8M

Fee Structure

Minimum Investment:$50K
Hourly Rate:$300/hr

HJSCM charges an advisory fee based on assets under management, billed quarterly in advance unless billing in arrears is selected. The MPP has a minimum account balance of $50,000, but this may be waived. Fees are negotiable and typically range from 1.25% to 2.50% annually. Envestnet charges a $25 flat annual operational fee. Financial planning reports and analyses are billed at $300/hour with a 5-hour minimum, but this fee may be waived.

Areas of Practice
Investment ManagementRetirement PlanningEstate PlanningHigh Net Worth
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Advisor Information

Office location

2150 Post Road, Suite 301, Fairfield, CT, 06824

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Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Other Business Activities

Daniel is a member of Killingworth Investors LLC, an equity investment firm focused on growth industries. He spends minimal time reading, assessing, and offering opinions related to the LLC's investments.

Employment History
Current Registrations
Herbert J. Sims Capital Management, INC.
January 2015 - Present · 11 yrs
Herbert J. Sims & Co, INC.
November 2009 - Present · 16 yrs 2 mos
Herbert J. Sims & Co, INC.Broker
November 2009 - Present · 16 yrs 2 mos
Previous Registrations
Sound Securities, LLCBroker
September 2008 - November 2009 · 1 yr 2 mos
Merrill Lynch Pierce Fenner & Smith INC.
June 2006 - August 2006 · 2 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated Broker
June 2006 - August 2006 · 2 mos
Advest, INC.
March 1999 - March 2006 · 7 yrs
Advest, INC.Broker
September 1991 - March 2006 · 14 yrs 6 mos
National Capital Investment Partners, INC.Broker
July 1990 - September 1991 · 1 yr 2 mos
Shearson Lehman Hutton INC.Broker
March 1984 - March 1990 · 6 yrs
State Registrations5 states
CTFLMNNJPR
AdvisorBrokerBoth
Exams
No exam information available for this advisor.