{
  "crd_number": 104740,
  "slug": "safford-nicholas-h-and-co-inc-rockport-ma-104740",
  "primary_business_name": "SAFFORD NICHOLAS H & CO INC",
  "legal_name": "SAFFORD NICHOLAS H & CO INC",
  "dbas": [
    "SAFFORD INVESTMENT COUNSEL"
  ],
  "city": "Rockport",
  "state": "MA",
  "country": "United States",
  "cbsa_code": "14460",
  "metro": {
    "cbsa_code": "14460",
    "common_name": "Boston",
    "msa_name": "Boston-Cambridge-Newton, MA-NH",
    "path": "/advisors/ma/boston"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "1983-08-02",
  "years_registered": 43,
  "period": "2026-10-01",
  "filing_date": "2026-03-30",
  "carried_forward": false,
  "raum_total": 1795604516.0,
  "raum_discretionary": 69514559.0,
  "raum_non_discretionary": 1726089957.0,
  "raum_band": "1b_5b",
  "raum_band_label": "$1 billion to $5 billion",
  "total_employees": 8,
  "advisory_employees": 4,
  "client_count_bucket": "fewer_than_5_in_some_types",
  "clients_by_type": {
    "other": {
      "raum": null,
      "count": 0
    },
    "charitable": {
      "raum": null,
      "count": 0,
      "fewer_than_5": true
    },
    "individuals": {
      "raum": 7404150.0,
      "count": 19
    },
    "banking_thrift": {
      "raum": null,
      "count": 0
    },
    "state_municipal": {
      "raum": null,
      "count": 0
    },
    "insurance_companies": {
      "raum": null,
      "count": 0
    },
    "investment_companies": {
      "raum": null,
      "count": 0
    },
    "pension_profit_sharing": {
      "raum": null,
      "count": 0
    },
    "other_investment_advisers": {
      "raum": null,
      "count": 0,
      "fewer_than_5": true
    },
    "high_net_worth_individuals": {
      "raum": 1788200366.0,
      "count": 136
    },
    "pooled_investment_vehicles": {
      "raum": null,
      "count": 0
    },
    "corporations_other_businesses": {
      "raum": null,
      "count": 0,
      "fewer_than_5": true
    },
    "business_development_companies": {
      "raum": null,
      "count": 0
    },
    "sovereign_wealth_foreign_official": {
      "raum": null,
      "count": 0
    }
  },
  "compensation_types": [
    "fixed",
    "other",
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "other",
    "portfolio_management_individuals"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 0,
  "states_registered": [
    "CA",
    "FL",
    "IL",
    "MA",
    "ME",
    "VA"
  ],
  "websites": [],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/104740",
  "city_as_filed": "ROCKPORT",
  "url": "https://advisorcensus.com/firm/safford-nicholas-h-and-co-inc-rockport-ma-104740",
  "display_name": "Safford Nicholas H & Co Inc",
  "summary": "Safford Nicholas H & Co Inc is an SEC-registered investment advisory firm in Rockport, MA, registered since 1983, reporting $1 billion to $5 billion in regulatory assets under management in its Form ADV filing dated March 30, 2026.",
  "citation": "AdvisorCensus. Safford Nicholas H & Co Inc (CRD 104740): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management",
    "Fixed fees (other than subscription fees)",
    "Other"
  ],
  "advisory_activity_labels": [
    "Portfolio management for individuals and/or small businesses",
    "Other"
  ],
  "quick_answers": [
    {
      "q": "How is Safford Nicholas H & Co Inc compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Safford Nicholas H & Co Inc reports these compensation arrangements: a percentage of assets under its management; fixed fees (other than subscription fees); other."
    },
    {
      "q": "Where is Safford Nicholas H & Co Inc located?",
      "a": "Safford Nicholas H & Co Inc's principal office is in Rockport, MA, according to its Form ADV."
    },
    {
      "q": "Is Safford Nicholas H & Co Inc registered with the SEC or a state?",
      "a": "Safford Nicholas H & Co Inc is an SEC-registered investment advisory firm, registered since 1983. Status as filed: Approved. CRD 104740."
    },
    {
      "q": "How much does Safford Nicholas H & Co Inc manage?",
      "a": "Safford Nicholas H & Co Inc reports $1,795,604,516 in regulatory assets under management in its Form ADV filing dated March 30, 2026 (4% discretionary)."
    },
    {
      "q": "How have Safford Nicholas H & Co Inc's assets and staff changed since 2021?",
      "a": "In the Form ADV data for Safford Nicholas H & Co Inc: Regulatory assets under management: $1,611,723,797 in the October 2021 data and $1,795,604,516 in the October 2026 data, up 11%. Total employees: 7 in October 2021 and 8 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does Safford Nicholas H & Co Inc serve?",
      "a": "By number of clients on Form ADV Item 5.D: high net worth individuals (136); individuals (other than high net worth individuals) (19)."
    },
    {
      "q": "Which custodians does Safford Nicholas H & Co Inc use?",
      "a": "Safford Nicholas H & Co Inc's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Fiduciary Trust Company, National Financial Services LLC and Northern Trust Corporation as custodians holding 10% or more of its separately managed account assets."
    },
    {
      "q": "Does Safford Nicholas H & Co Inc report any disciplinary disclosures?",
      "a": "Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/104740"
    },
    {
      "q": "Does Safford Nicholas H & Co Inc state an account minimum?",
      "a": "Its Form ADV Part 2A brochure dated March 30, 2026 says: \"Minimum portfolio size — $5,000,000\" \"Our typical minimum account size is a $5 million portfolio.\" \"In special circumstances, the minimum portfolio size can be waived at our discretion.\""
    },
    {
      "q": "What changed in Safford Nicholas H & Co Inc's recent Form ADV filings?",
      "a": "In the April 2026 filing data: Registered or notice-filed in IL."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 1611723797.0,
      "total_employees": 7,
      "filing_date": "2021-03-29"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 1903775184.0,
      "total_employees": 8,
      "filing_date": "2022-04-08"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 1640409832.0,
      "total_employees": 9,
      "filing_date": "2023-03-31"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 1758136542.0,
      "total_employees": 9,
      "filing_date": "2024-05-10"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 1871274012.0,
      "total_employees": 8,
      "filing_date": "2025-06-30"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 1795604516.0,
      "total_employees": 8,
      "filing_date": "2026-03-30"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-04-01",
      "period_label": "April 2026",
      "notes": [
        "Registered or notice-filed in IL."
      ]
    }
  ],
  "fees_from_brochure": {
    "source": "Form ADV Part 2A brochure dated March 30, 2026",
    "tiers": [],
    "flat_rate": null,
    "stated_range": null,
    "stated_maximum": null,
    "account_minimum": "$5,000,000",
    "account_minimum_may_be_waived": true,
    "minimum_annual_fee": null,
    "figures": [
      {
        "label": "Account minimum",
        "statements": [
          "Account minimum: $5,000,000 (the brochure says it may be waived or negotiated)"
        ],
        "quotes": [
          "Minimum portfolio size — $5,000,000",
          "Our typical minimum account size is a $5 million portfolio.",
          "In special circumstances, the minimum portfolio size can be waived at our discretion."
        ]
      }
    ],
    "quotes": [
      "Minimum portfolio size — $5,000,000",
      "Our typical minimum account size is a $5 million portfolio.",
      "In special circumstances, the minimum portfolio size can be waived at our discretion."
    ],
    "note": "As stated in the firm's brochure; fees can differ by service and may be negotiable."
  },
  "custodians": [
    {
      "name": "Fiduciary Trust Company",
      "name_as_filed": "FIDUCIARY TRUST COMPANY",
      "affiliated": false
    },
    {
      "name": "National Financial Services LLC",
      "name_as_filed": "NATIONAL FINANCIAL SERVICES LLC",
      "affiliated": false
    },
    {
      "name": "Northern Trust Corporation",
      "name_as_filed": "NORTHERN TRUST CORPORATION",
      "affiliated": false
    }
  ],
  "custodians_note": "Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.",
  "markdown_url": "https://advisorcensus.com/firm/safford-nicholas-h-and-co-inc-rockport-ma-104740.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 19,
      "fewer_than_5": false,
      "raum": 7404150.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 136,
      "fewer_than_5": false,
      "raum": 1788200366.0
    },
    {
      "type": "banking_thrift",
      "label": "Banking or thrift institutions",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "investment_companies",
      "label": "Investment companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "business_development_companies",
      "label": "Business development companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "pooled_investment_vehicles",
      "label": "Pooled investment vehicles (other than investment companies and business development companies)",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "pension_profit_sharing",
      "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "charitable",
      "label": "Charitable organizations",
      "count": 0,
      "fewer_than_5": true,
      "raum": null
    },
    {
      "type": "state_municipal",
      "label": "State or municipal government entities (including government pension plans)",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "other_investment_advisers",
      "label": "Other investment advisers",
      "count": 0,
      "fewer_than_5": true,
      "raum": null
    },
    {
      "type": "insurance_companies",
      "label": "Insurance companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "sovereign_wealth_foreign_official",
      "label": "Sovereign wealth funds and foreign official institutions",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "corporations_other_businesses",
      "label": "Corporations or other businesses not listed above",
      "count": 0,
      "fewer_than_5": true,
      "raum": null
    },
    {
      "type": "other",
      "label": "Other",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    }
  ],
  "disclosure_line": "Reports no disclosure items on Form ADV Item 11.",
  "disclosure_items": [],
  "indexable": true,
  "suppressed": false,
  "claimed": false,
  "enhanced": false,
  "provided_by_the_firm": null,
  "source": {
    "name": "Form ADV",
    "as_of": "2026-10-01",
    "iapd_url": "https://adviserinfo.sec.gov/firm/summary/104740",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}