Martin Nelson & Co., Inc.
- Regulatory AUM
- $287M
- Discretionary
- $287M
- Clients
- 422
- Avg AUM / client
- $681K
- Accounts
- 422
- Employees
- 9
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Mar 03, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 422 | $287M | 100.0% |
People (7)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Martin Oliver Nelson | President/Cco | Oct 1970 (56y) | 75% or more | |
| Nelson, Vicki Ann | Director | Feb 1999 (28y) | Less than 5% | |
| Roebke, Frederic Louis | Vice President | Dec 2003 (23y) | Less than 5% | |
| Sabine Erika Regina Koenig | Secretary/Treasurer | Oct 2004 (22y) | Less than 5% | |
| Scott Thomas Macartney | Vice President | Nov 2021 (5y) | Less than 5% | |
| Miranda Eleanor Edwards | Registered representative | Dec 2025 (1y) | ||
| Jack Peter Jarvis | Registered representative | Feb 2026 (0y) |
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) | 03/03/2026 | 1.26 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
Allegations: VIOLATION OF FEDERAL RESERVE BOARD REGULATION T. THERE WERE NO MONETARY DAMAGES OR CLAIMS TO ANY PUBLIC CUSTOMER. Status: Final Sanction Detail: FIRM CENSURED AND FINED 1250.00 DOLLARS. Summary: MINOR REG T VIOLATION. DETAILS UNKNOWN
Allegations: VIOLATION OF TRADING REGULATIONS. THERE WERE NO MONETARY DAMAGES OR CLAIMS TO ANY PUBLIC CUSTOMER. Status: Final Sanction Detail: CENSURED AND FINED $1000.00. Summary: MARTIN NELSON & CO TIED THE SALE OF AN IPO OF STOCK TO THE PURCHASE OF ADDITIONAL SHARES IN THE OPEN MARKET TO ELIMINATE "FLIPPING" BY THE CUSTOMER. MARTIN NELSON & CO WAS CENSURED AND FINED $1000.00.
Allegations: INADEQUATE DUE DILIGENCE IN CERTAIN OFFERINGS. Status: Final Sanction Detail: THE FIRM PAID A CIVIL PENALTY OF 100,000.00 AND CEASE AND DESIST FROM COMMITTING OR CAUSING ANY VIOLATIONS OR FUTURE VIOLATIONS OF SECTION 17(2)(2) OF THE SECURITIES ACT. IN ADDITION THE FIRM IS REQUIRED TO RETAIN AN INDEPENDENT CONSULTANT TO CONDUCT A REVIEW OF RESPONDENT'S POLICIES AND PROCEDURES AS THEY RELATE TO MUNICIPAL SECURITIES UNDERWRITING DUE DILIGENCE. Summary: THE FIRM PAID A CIVIL PENALTY OF 100,000.00 WITHIN 10 DAYS AND CEASE AND DESIST FROM COMMITTING OR CAUSING ANY VIOLATIONS OR FUTURE VIOLATIONS OF SECTION 17(2)(2) OF THE SECURITIES ACT.
Allegations: LATE FILINGS OF FORMS G-36(OS) AND (ARD) AND DIDN'T SEND OFFICIAL STATEMENTS VIA REGISTERED MAIL. THERE WERE NO MONETARY DAMAGES OR CLAIMS TO ANY PUBLIC CUSTOMER. Status: Final Sanction Detail: LETTTER OF ACCEPTANCE, WAIVER AND CONSENT, A FINE OF $5,000.00 PAID 05/26/1998 Summary: MARTIN NELSON & CO WAS LATE FILING FORMS G-36(OS) AND (ARD). WE MISTAKENLY RELIED ON AN NASD INTERPRETATION OF THE RULE. MN&CO SENT OFFICIAL STATEMENTS TO THE MSRB VIA 1ST CLASS MAIL. WE SHOULD HAVE USED REGISTERED MAIL. MN&CO DID NOT FILE FORM G-36(ARD)INSTEAD WE FILED FORM G-36(OS). THIS WAS AN INCORRECT FORM.
Disclosure text reproduced verbatim from the firm's own Form ADV filings.
How they charge
- • Percentage of assets under management
Services
- • Portfolio management for individuals/small businesses
- • Pension consulting services
Custody
Reported custodians
- Charles Schwab & Co. $37.6M (13% 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 03, 2026.
View current Form ADV (SEC/IAPD) ↗