NOTTINGHAM ADVISORS INC.
Adviser information for NOTTINGHAM ADVISORS INC. last updated from Form ADV on March 29th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 9 |
|---|---|
| Investment Advisory/Research | 9 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 7 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 3 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 1,941 | $1.4B |
| Non-Discretionary | 308 | $57.5M |
| Total | 2,249 | $1.4B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 964 | $294.1M |
| HNW Individuals | 146 | $444.1M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 33 | $364.0M |
| Charitable organizations | 34 | $108.3M |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | <5 | $57.5M |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 17 | $140.6M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 26-50 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting services |
|---|---|
| Compensation | % of AUMFixed fees |
Identifiers
| SEC RIA File Number | 801-17685 |
|---|---|
| SEC ERA File Number | 801-17685 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 104928 |
| Legal Entity Identifier | None |
Principal Office
100 CORPORATE PARKWAYSUITE 338
AMHERST
NY
United States
Monday - Friday, 8:00 A.M. 5:00 P.M.
Tel: 716-633-3800, Fax: 716-633-3810
Chief Compliance Officer
NICHOLAS DIRIENZO
DIRECTOR OF OPERATIONS
100 CORPORATE PARKWAY
SUITE 338
AMHERST
NY
United States
Tel:
716-633-3800
Fax:
716-633-3810
N****************@*********************M
(Full email address available in API data)
Industry Affiliates
| BENEFIT PLANS ADMINISTRATIVE SERVICES, LLC | Pension consultant |
| BPAS ACTUARIAL AND PENSION SERVICES LLC | Pension consultant |
| BPAS TRUST COMPANY OF PUERTO RICO | Trust company |
| BPAS, INC. | Pension consultant |
| COMMUNITY BANK N.A. | Banking or thrift institution |
| COMMUNITY INVESTMENT SERVICES, INC. | Insurance company or agency |
| GLOBAL TRUST COMPANY, INC. | Trust company |
| HAND SECURITIES, INC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| HB&T | Trust company |
| NORTHEAST RETIREMENT SERVICES, LLC | Pension consultant |
| ONEGROUP NY, INC. | Insurance company or agency |
| ONEGROUP WEALTH PARTNERS, INC. | Other investment adviser, including financial planners |
| THE CARTA GROUP, INC. | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| COMMUNITY BANK N. A. | Domestic Entity | – | SHAREHOLDER | 04/2000 | > 75% |
| QUEALY, THOMAS, STEPHEN | Individual | – | CHIEF EXECUTIVE OFFICER | 01/2004 | < 5% |
| WHISTLER, LAWRENCE, VERNON | Individual | – | PRESIDENT | 06/2006 | < 5% |
| COMMUNITY BANK SYSTEMS, INC. | Domestic Entity | COMMUNITY BANK N. A. | SHAREHOLDER | 01/1992 | > 75% |
| DIRIENZO, NICHOLAS, STEPHEN | Individual | – | CHIEF COMPLIANCE OFFICER AND DIRECTOR OF OPERATIONS | 11/2020 | < 5% |