Nobscot Investment Management Llc
- Regulatory AUM
- $164M
- Discretionary
- $164M
- Clients
- 10
- Avg AUM / client
- $16.4M
- Accounts
- 38
- Employees
- 1
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Jan 23, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | Fewer than 5 clients | $3.7M | 2.28% |
| High net worth individuals | 10 | $155M | 94.2% |
| Charitable organizations | Fewer than 5 clients | $5.8M | 3.51% |
People (1)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Catherine Anne Smith | Managing Member/Chief Compliance Officer | CFA | Mar 2016 (10y) | 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.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 01/23/2026 | 894 KB | 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
Services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
Custody
Reported custodians
- National Financial Services (Fidelity) $164M (100% of AUM) Jan 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: Jan 23, 2026.
View current Form ADV (SEC/IAPD) ↗