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

Get directions
Regulatory History (30)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
November 2020
Settled
Customer Dispute
August 2019
Settled
Customer Dispute
June 2019
Settled
Customer Dispute
May 2019
Settled
Customer Dispute
April 2019
Settled
Customer Dispute
April 2019
Settled
Customer Dispute
April 2019
Settled
Customer Dispute
March 2019
Settled
Customer Dispute
October 2018
Settled
Customer Dispute
September 2018
Settled
Customer Dispute
August 2018
Settled
Customer Dispute
August 2018
Settled
Customer Dispute
July 2018
Settled
Customer Dispute
July 2018
Settled
Customer Dispute
May 2018
Settled
Customer Dispute
February 2018
Settled
Customer Dispute
January 2018
Settled
Customer Dispute
December 2017
Settled
Customer Dispute
August 2017
Settled
Customer Dispute
May 2017
Settled
Customer Dispute
November 2016
Settled
Customer Dispute
June 2016
Closed-No Action
Customer Dispute
April 2016
Settled
Customer Dispute
April 2016
Settled
Customer Dispute
November 2015
Settled
Customer Dispute
May 2015
Settled
Customer Dispute
November 2014
Settled
Customer Dispute
May 2014
Settled
Customer Dispute
December 2013
Denied
Customer Dispute
May 2013
Settled
Other Business ActivitiesSells Insurance

Carlos is an investment adviser representative of HJ Sims Capital Management, dedicating about 20% of his time to this role. He also spends about 10% of his time on insurance activities, while his primary business involves providing brokerage services.

Employment History
Current Registrations
Herbert J. Sims Capital Management, INC.
April 2016 - Present · 9 yrs 9 mos
Herbert J. Sims & Co, INC.
March 2016 - Present · 9 yrs 10 mos
Herbert J. Sims & Co, INC.Broker
March 2016 - Present · 9 yrs 10 mos
Previous Registrations
Santander Securities
March 2010 - February 2016 · 5 yrs 11 mos
Santander Securities LLC Broker
February 2000 - February 2016 · 16 yrs
Merrill Lynch, Pierce, Fenner & Smith Incorporated Broker
January 1985 - February 2000 · 15 yrs 1 mo
State Registrations6 states
AZFLMDNJPRTX
AdvisorBrokerBoth
Exams
No exam information available for this advisor.