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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 1b 10b

SAFFORD NICHOLAS H & CO INC

CRD 104740

ROCKPORT, MA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:222365b2-4409-b7d4-9384-eda55a877698

Data as of Mar 30, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:09 PM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 1
On other graphs: 0
Observed: Mar 15, 2012 to Mar 30, 2026
23 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: independent wealth managerderivedprivate_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $1.8BItem 5.F on the latest filing (2026-03-30); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $69.5M
Private client RAUM: $1.8BderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 4
RAUM per advisor: $449Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 8
Advisory employees: 4
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 155
Individual clients: 19
High net worth clients: 136
SEC number: 801-19482
CRD: 104740
Filings on the tape: 23
First filed: Mar 15, 2012
Latest filed: Mar 30, 2026
Organised: Corporation, MA

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
JOHN EAST APTHORP SAFFORD	n/a	ROCKPORT, MA	32	33	n/a	no
NORTON QUINCY SLOAN	n/a	ROCKPORT, MA	21	21	n/a	no
William Parker Dwyer	n/a	ROCKPORT, MA	8	9	n/a	no
Matthew George Porter Safford	n/a	ROCKPORT, MA	3	10	n/a	no

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
Safford, Deborah, Porter	TREASURER & DIRECTOR	Na	yes	03/2020	Mar 30, 2026	Mar 30, 2026
SAFFORD, JOHN, EAST APTHORP	PRESIDENT, CEO & DIRECTOR	E	yes	11/2005	Mar 30, 2026	Mar 30, 2026
SLOAN, NORTON, QUINCY	VICE PRESIDENT & DIRECTOR	Na	yes	12/2011	Mar 30, 2026	Mar 30, 2026
SAFFORD, NICHOLAS, HEATH	CHAIRMAN, ASSISTANT TREASURER & DIRECTOR	Na	yes	11/2005	Mar 15, 2012	May 10, 2024
Dwyer, William, Parker	DIRECTOR OF RESEARCH	Na	no	07/2019	Mar 30, 2026	Mar 30, 2026
MALCOLMSON, ELIZABETH, ANNE	CHIEF COMPLIANCE OFFICER & DIRECTOR OF OPERATIONS	Na	no	09/2016	Mar 30, 2026	Mar 30, 2026

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 30, 2026	$1.8B	$69.5M	8	4	0	n/a	n/a
2024	Mar 27, 2025	$1.9B	$59.3M	9	5	0	n/a	n/a
2023	Mar 28, 2024	$1.8B	$54.4M	9	5	0	n/a	n/a
2022	Mar 31, 2023	$1.6B	$50.6M	9	4	0	n/a	n/a
2021	Mar 31, 2022	$1.9B	$54.5M	8	4	0	n/a	n/a
2020	Mar 29, 2021	$1.6B	$58.3M	7	4	0	n/a	n/a
2019	Mar 30, 2020	$1.4B	$41.9M	7	4	0	n/a	n/a
2018	Mar 27, 2019	$1.1B	$38.2M	8	4	0	n/a	n/a
2017	Mar 30, 2018	$1.2B	$38.2M	8	4	0	n/a	n/a
2016	Mar 28, 2017	$1.1B	$34.0M	8	3	n/a	n/a	n/a
2015	Mar 30, 2016	$932M	$14.8M	6	3	n/a	n/a	n/a
2014	Mar 31, 2015	$1.0B	$15.7M	6	3	n/a	n/a	n/a
2013	Mar 31, 2014	$938M	$16.5M	5	3	n/a	n/a	n/a
2012	Apr 1, 2013	$552M	$16.8M	5	3	n/a	n/a	n/a
2011	Mar 15, 2012	$483M	$15.4M	n/a	n/a	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$1.8B	$1.9B	-4.0%	$1.6B	3.1%	8	9	0	0

Relationships

Registered with (4)

← Matthew George Porter SaffordAdvisorregistration: current employment
Jun 16, 2023 to presentfactForm ADV
← William Parker DwyerAdvisorregistration: current employment
Dec 8, 2017 to presentfactForm ADV
← NORTON QUINCY SLOANAdvisorregistration: current employment
Sep 2, 2005 to presentfactForm ADV
← JOHN EAST APTHORP SAFFORDAdvisorregistration: current employment
Apr 14, 1994 to presentfactForm ADV

Controls (4)

← SAFFORD, JOHN, EAST APTHORPOwnerPRESIDENT, CEO & DIRECTOR, ownership code E, individual
Mar 15, 2012 to May 10, 2024factForm ADV
← SAFFORD, NICHOLAS, HEATHOwnerCHAIRMAN, ASSISTANT TREASURER & DIRECTOR, ownership code NA, individual
Mar 15, 2012 to May 10, 2024factForm ADV
← SLOAN, NORTON, QUINCYOwnerVICE PRESIDENT & DIRECTOR, ownership code NA, individual
Mar 15, 2012 to May 10, 2024factForm ADV
← Safford, Deborah, PorterOwnerTREASURER & DIRECTOR, ownership code NA, individual
Mar 30, 2020 to May 10, 2024factForm ADV

Owns (2)

← MALCOLMSON, ELIZABETH, ANNEOwnerCHIEF COMPLIANCE OFFICER & DIRECTOR OF OPERATIONS, ownership code NA, individual
Mar 15, 2012 to May 10, 2024factForm ADV
← Dwyer, William, ParkerOwnerDIRECTOR OF RESEARCH, ownership code NA, individual
Mar 30, 2020 to May 10, 2024factForm ADV

Dated events

Occurred
Mar 30, 2020
Control person joined
Porter Deborah Safford (Treasurer & Director) appeared on Schedule A of Safford Nicholas H & Co Inc
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:222365b2-4409-b7d4-9384-eda55a877698
First observed: Mar 15, 2012
Last observed: Mar 30, 2026 5 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

SAFFORD NICHOLAS H & CO INC

CRD 104740

ROCKPORT, MA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:222365b2-4409-b7d4-9384-eda55a877698

Data as of Mar 30, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:09 PM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

JOHN EAST APTHORP SAFFORD

n/a

ROCKPORT, MA

n/a

NORTON QUINCY SLOAN

n/a

ROCKPORT, MA

n/a

William Parker Dwyer

n/a

ROCKPORT, MA

n/a

Matthew George Porter Safford

n/a

ROCKPORT, MA

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

Safford, Deborah, Porter

TREASURER & DIRECTOR

yes

03/2020

Mar 30, 2026

SAFFORD, JOHN, EAST APTHORP

PRESIDENT, CEO & DIRECTOR

yes

11/2005

Mar 30, 2026

SLOAN, NORTON, QUINCY

VICE PRESIDENT & DIRECTOR

yes

12/2011

Mar 30, 2026

SAFFORD, NICHOLAS, HEATH

CHAIRMAN, ASSISTANT TREASURER & DIRECTOR

yes

11/2005

Mar 15, 2012

May 10, 2024

Dwyer, William, Parker

DIRECTOR OF RESEARCH

07/2019

Mar 30, 2026

MALCOLMSON, ELIZABETH, ANNE

CHIEF COMPLIANCE OFFICER & DIRECTOR OF OPERATIONS

09/2016

Mar 30, 2026

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 30, 2026

$1.8B

$69.5M

n/a

2024

Mar 27, 2025

$1.9B

$59.3M

n/a

2023

Mar 28, 2024

$1.8B

$54.4M

n/a

2022

Mar 31, 2023

$1.6B

$50.6M

n/a

2021

Mar 31, 2022

$1.9B

$54.5M

n/a

2020

Mar 29, 2021

$1.6B

$58.3M

n/a

2019

Mar 30, 2020

$1.4B

$41.9M

n/a

2018

Mar 27, 2019

$1.1B

$38.2M

n/a

2017

Mar 30, 2018

$1.2B

$38.2M

n/a

2016

Mar 28, 2017

$1.1B

$34.0M

n/a

2015

Mar 30, 2016

$932M

$14.8M

n/a

2014

Mar 31, 2015

$1.0B

$15.7M

n/a

2013

Mar 31, 2014

$938M

$16.5M

n/a

2012

Apr 1, 2013

$552M

$16.8M

n/a

2011

Mar 15, 2012

$483M

$15.4M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$1.8B

$1.9B

-4.0%

$1.6B

3.1%