SAFFORD NICHOLAS H & CO INC
Adviser information for SAFFORD NICHOLAS H & CO INC last updated from Form ADV on March 28th, 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 | Massachusetts, United States |
Employees
| Total Number of Employees | 9 |
|---|---|
| Investment Advisory/Research | 5 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 5 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 6 | $54.4M |
| Non-Discretionary | 150 | $1.7B |
| Total | 156 | $1.8B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 28 | $13.3M |
| HNW Individuals | 128 | $1.7B |
| 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 | 0 | $0 |
| Charitable organizations | <5 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 2 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | <5 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 2 |
| No. of Non-U.S. Clients | 3 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesINVESTMENT CONSULTING |
|---|---|
| Compensation | % of AUMFixed feesPERCENTAGE OF ASSETS UNDER OTHER INVESTMENT ADVISERS' MANAGEMENT |
Identifiers
| SEC RIA File Number | 801-19482 |
|---|---|
| SEC ERA File Number | 801-19482 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 104740 |
| Legal Entity Identifier | None |
Principal Office
9 CLEAVES STREETROCKPORT
MA
United States
Monday - Friday, 9AM TO 5 PM
Tel: 978-546-2462, Fax: 978-546-2307
Chief Compliance Officer
MALCOLMSON, ELIZABETH A
CHIEF COMPLIANCE OFFICER & DIRECTOR OF OPERATIONS
9 CLEAVES STREET
ROCKPORT
MA
United States
Tel:
978-546-2462
Fax:
978-546-2307
E********@***********M
(Full email address available in API data)
Regulatory Contact
JOHN A. SAFFORD
PRESIDENT
9 CLEAVES STREET
ROCKPORT
MA
United States
Tel:
978-546-2462
Fax:
978-546-2307
J***@***********M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| SAFFORD, JOHN, EAST APTHORP | Individual | – | PRESIDENT, CEO & DIRECTOR | 11/2005 | > 75% |
| SAFFORD, NICHOLAS, HEATH | Individual | – | CHAIRMAN, ASSISTANT TREASURER & DIRECTOR | 11/2005 | < 5% |
| MALCOLMSON, ELIZABETH, ANNE | Individual | – | CHIEF COMPLIANCE OFFICER & DIRECTOR OF OPERATIONS | 09/2016 | < 5% |
| SLOAN, NORTON, QUINCY | Individual | – | VICE PRESIDENT & DIRECTOR | 12/2011 | < 5% |
| Dwyer, William, Parker | Individual | – | DIRECTOR OF RESEARCH | 07/2019 | < 5% |
| Safford, Deborah, Porter | Individual | – | TREASURER & DIRECTOR | 03/2020 | < 5% |