Nichols, James William
- Regulatory AUM
- $60.2M
- Discretionary
- $60.2M
- Clients
- 38
- Avg AUM / client
- $1.6M
- Accounts
- 38
- Employees
- 1
AUM over time
Annual snapshots from Form ADV filings · as of Mar 09, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 22 | $9.9M | 16.4% |
| High net worth individuals | 14 | $49.5M | 82.1% |
| Charitable organizations | 2 | $901K | 1.5% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| United Steelworkers Of America, Afl Cio Clc Highway Contractors Multi Employer Pension Plan Board Of Trustees Of United Steelworkers Pension Trust Fund | 2024 |
People (1)
| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Nichols, James, William | Owner / Chief Compliance Officer | Aug 1989 (37y) | 75% or more |
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.
Retirement plans served (1)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| United Steelworkers Of America, Afl Cio Clc Highway Contractors Multi Employer Pension Plan | Board Of Trustees Of United Steelworkers Pension Trust Fund | 308 | $98.0M | 09/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/09/2026 | 1.18 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
This firm answered "yes" to a disciplinary item on its latest filing. Detailed disclosure pages for this filing have not been imported yet — see the source filing below.
How they charge
- • Percentage of assets under management
- • Fixed fees
Services
- • Portfolio management for individuals/small businesses
Custody
Reported custodians
- Charles Schwab & Co. $58.0M (96% of AUM) Mar 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having 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 09, 2026.
View current Form ADV (SEC/IAPD) ↗