Managing Director · Herbert J. Sims Capital Management, Inc.
john w. Koene
CRD 5456931 · Named on Form ADV at one SEC-registered adviser
At a glance
Herbert J. Sims Capital Management, Inc., an SEC-registered wealth manager based in Fairfield, CT with $437 million in regulatory assets, lists john w. Koene on its Form ADV as Managing Director, a control person.
Firms and roles
- Herbert J. Sims Capital Management, Inc.Managing DirectorWealth manager · Fairfield, CT · $437M in regulatory assets
AtlasMembers
john’s stakes and control
What Form ADV says they own at each firm, whether they control it, and how each firm is growing. Atlas members see all of it.
- Ownership stake at the firm
- Locked
- Control-person status
- 1 firmLocked
- When each role began
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- Each firm’s assets and growth
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Colleagues named on the same filings
- Valerie HebertChief Compliance Officer, Herbert J. Sims Capital Management, Inc.
- Jason H. DiamondChief Financial Officer, Herbert J. Sims Capital Management, Inc.
- Jonathan D. JarowManaging Director, Herbert J. Sims Capital Management, Inc.
- Elizabeth B. SimsManaging Principal, Herbert J. Sims Capital Management, Inc.
Something wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For john’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.