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Jason Diamond

Herbert J. Sims Capital Management, INC.
31 Years of Experience
Fairfield, CT
Broker
View SEC Summary
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Jason Diamond is a registered investment advisor at Herbert J. Sims Capital Management, INC., based in Fairfield, CT, with 31 years of industry experience. Jason is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Charitable Giving, Estate Planning, High Net Worth, Insurance Planning, and 2 more. Their firm serves 350 clients with $440M in assets under management.

Herbert J. Sims Capital Management, INC.
Compensation
Fee-Only (% of Portfolio)
Firm Size
37 advisors
Number of Clients
350 clients
Average Client Portfolio
$1.2M average
Assets Under Management
$436.9M

Fee Structure

Minimum Investment:$50K
Investment management only (planning not offered)
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $500K2.50%
$500K - $1.0M2.00%
$1.0M - $2.5M1.75%
$2.5M - $5.0M1.50%
$5M+1.25%

Fees are generally subject to negotiation and typically range from 1.25% to 2.50% per year.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

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

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History

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

Jason is a non-paid board member for Workplace Elemental Technologies (W.E.T), which provides environmentally conscious workplace safety and cost reduction solutions. He dedicates minimal time to this role.

Employment History
Current Registrations
Herbert J. Sims Capital Management, INC.
October 2014 - Present · 12 yrs
Herbert J. Sims & CO, INC.Broker
June 2007 - Present · 19 yrs 4 mos
Previous Registrations
Advest, INC.
October 2003 - May 2006 · 2 yrs 7 mos
Advest, INC.Broker
October 2003 - August 2006 · 2 yrs 10 mos
Signator Investors, INC.Broker
March 1996 - July 2002 · 6 yrs 4 mos
Wall Street Investor ServicesBroker
July 1993 - February 1996 · 2 yrs 7 mos
State Registrations2 states
CTPR
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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