Safford Nicholas H & Co Inc
- Regulatory AUM
- $1.8B
- Discretionary
- $69.5M
- Clients
- 155
- Avg AUM / client
- $11.6M
- Accounts
- 155
- Employees
- 8
AUM over time
Annual snapshots from Form ADV filings · as of Mar 30, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 19 | $7.4M | 0.41% |
| High net worth individuals | 136 | $1.8B | 99.6% |
| Charitable organizations | 0 | — | — |
| Other investment advisers | 0 | — | — |
| Corporations and other businesses | 0 | — | — |
People (7)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| John East Apthorp Safford | President, Ceo & Director | Apr 1994 (32y) | 75% or more | |
| Norton Quincy Sloan | Vice President & Director | Sep 2005 (21y) | Less than 5% | |
| Safford, Nicholas, Heath | Chairman, Assistant Treasurer & Director | Nov 2005 (21y) | Less than 5% | |
| Malcolmson, Elizabeth, Anne | Chief Compliance Officer & Director Of Operations | Sep 2016 (10y) | Less than 5% | |
| William Parker Dwyer | Director Of Research | Dec 2017 (9y) | Less than 5% | |
| Safford, Deborah, Porter | Treasurer & Director | Mar 2020 (6y) | Less than 5% | |
| Matthew George Porter Safford | Registered representative | Jun 2023 (3y) |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/30/2026 | 1.01 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Fixed fees
- • Other fees
- • PERCENTAGE OF ASSETS UNDER OTHER INVESTMENT ADVISERS' MANAGEMENT
Services
- • Portfolio management for individuals/small businesses
- • Other services
Custody
Reported custodians
- Northern Trust $598M (33% of AUM) Mar 2026
- National Financial Services (Fidelity) $547M (30% of AUM) Mar 2026
- Fiduciary Trust Company $516M (29% of AUM) Mar 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 30, 2026.
View current Form ADV (SEC/IAPD) ↗