DONALD W. NICHOLSON & ASSOCIATES LTD
Adviser information for DONALD W. NICHOLSON & ASSOCIATES LTD 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 | 5 |
|---|---|
| Investment Advisory/Research | 4 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 2 |
| 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 | 0 | $0 |
| Non-Discretionary | 501 | $178.3M |
| Total | 501 | $178.3M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 85 | $37.8M |
| HNW Individuals | 53 | $117.3M |
| 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 | $1.9M |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 5 | $21.2M |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 5 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 101-250 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting servicesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-56986 |
|---|---|
| SEC ERA File Number | 801-56986 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 107054 |
| Legal Entity Identifier | None |
Principal Office
1403 SILVERSIDE RDSTE B
WILMINGTON
DE
United States
Monday - Friday, 7:30 AM - 6:30 PM
Tel: 302-529-1500, Fax: 302-529-0474
Chief Compliance Officer
DONALD W. NICHOLSON SR.
PRESIDENT
1403 SILVERSIDE ROAD
SUITE B
WILMINGTON
DE
United States
Tel:
302-529-1500
Fax:
302-529-0474
D****@*******************M
(Full email address available in API data)
Regulatory Contact
DONALD W. NICHOLSON JR.
ASSOCIATE
1403 SILVERSIDE ROAD
STE B
WILMINGTON
DE
United States
Tel:
302-529-1500
Fax:
302-529-0474
D****@*******************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 |
|---|---|---|---|---|---|
| NICHOLSON, DONALD, WILLIAM | Individual | – | PRESIDENT/DIRECTOR, CHIEF COMPLIANCE OFFICER | 11/1987 | > 75% |
| NICHOLSON, MARY, LYNN | Individual | – | SECRETARY/TREASURER/DIRECTOR | 11/1987 | < 5% |