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SAFFORD NICHOLAS H & CO INC
CRD 104740File 801-19482
APPROVED
Retail clients
Custody
Filing as of Mar 30, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$1.80B
Top 25% of cohort (national)
Discretionary AUM
$69.5M
Non-discretionary $1.73B
Clients
155
155 accounts
Employees
8
Above cohort median in MA
Identity & registration
ADV Item 1- Organization form
- Corporation
- Firm type
- Registered
- SEC region
- BRO
- Registration date
- Aug 2, 1983
- Principal office
- 9 CLEAVES STREET, ROCKPORT, MA, 01966-1520
- Phone
- 978-546-2462
- Website
- Not reported
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $1.80B
- Discretionary AUM
- $69.5M
- Non-discretionary AUM
- $1.73B
- Discretionary accounts
- 7
- Non-discretionary accounts
- 148
- Total accounts
- 155
- AUM per client
- $11.6M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | Fewer than 5 | Not reported |
| Charitable organizations | Fewer than 5 | Not reported |
| Other investment advisers | Fewer than 5 | Not reported |
| High net worth individuals | 136 | $1.79B |
| Individuals (other than high net worth individuals) | 19 | $7.4M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Other
- Fixed fees
- Other (described) — PERCENTAGE OF ASSETS UNDER OTHER INVESTMENT ADVISERS' MANAGEMENT
- A percentage of assets under your management
Advisory activities
- Other advisory activities
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- No
- Firm Custody Assets
- Yes
- Firm Custody Clients
- Yes
- Firm Custody Securities
- No
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11This firm answered no to every Item 11 disclosure question in this filing.
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Apr 1, 2026 | Clients | 157 | 155 | decreased by2 |
| Apr 1, 2026 | AUM | $1,871,274,012 | $1,795,604,516 | decreased by$75,669,496 |
| Dec 1, 2025 vs May 1, 2025 | Employees | 9 | 8 | decreased by1 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 8 | 9 | increased by1 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 128 | 157 | increased by29 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $1,903,775,184 | $1,871,274,012 | decreased by$32,501,172 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 158 | 155 | decreased by3 |
| Apr 1, 2022 | Employees | 7 | 8 | increased by1 |
| Apr 1, 2022 | Clients | 159 | 128 | decreased by31 |
| Apr 1, 2022 | AUM | $1,611,723,797 | $1,903,775,184 | increased by$292,051,387 |
| Apr 1, 2022 | Accounts | 154 | 158 | increased by4 |
| Apr 1, 2021 | Registration | — | APPROVED |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “SAFFORD NICHOLAS” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“SAFFORD NICHOLAS” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.