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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

NICHOLS ASSET MANAGEMENT LLC

CRD 111749

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:49fea254-bc50-20b8-c79e-84811be5fc3e

Data as of May 26, 2020 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 9:07 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Mar 9, 2012 to May 26, 2020
13 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: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $159MItem 5.F on the latest filing (2020-05-26); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $63.5M
Private client RAUM: $46.0MderivedItem 5.D individuals plus high net worth individuals
Private client share: 29%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 2
Advisory employees: 2
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 45
Individual clients: 3
High net worth clients: 9
SEC number: 801-50360
CRD: 111749
Filings on the tape: 13
First filed: Mar 9, 2012
Latest filed: May 26, 2020
Organised: Limited Liability Company, Massachusetts

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
NICHOLS, CHARLES	CHIEF INVESTMENT OFFICER, MEMBER	C	yes	06/1995	Mar 9, 2012	May 26, 2020
NICHOLS, PATRICIA, MACGUIRE	CHIEF COMPLIANCE OFFICER, MEMBER	D	yes	06/1995	Mar 9, 2012	May 26, 2020

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
2019	Feb 27, 2020	$159M	$63.5M	2	2	0	n/a	n/a
2018	Feb 15, 2019	$150M	$93.2M	2	2	1	n/a	n/a
2017	Mar 10, 2018	$156M	$101M	2	2	1	n/a	n/a
2016	Feb 27, 2017	$131M	$92.6M	2	2	n/a	n/a	n/a
2015	Feb 15, 2016	$542M	$519M	8	5	n/a	n/a	n/a
2014	Mar 4, 2015	$582M	$561M	9	6	n/a	n/a	n/a
2013	Feb 28, 2014	$555M	$510M	8	6	n/a	n/a	n/a
2012	Mar 15, 2013	$287M	$249M	5	5	n/a	n/a	n/a
2011	Mar 9, 2012	$226M	$192M	n/a	n/a	n/a	n/a	n/a

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
2019	$159M	$150M	5.9%	$131M	6.6%	2	2	0	1

Relationships

Controls (2)

← NICHOLS, PATRICIA, MACGUIREOwnerCHIEF COMPLIANCE OFFICER, MEMBER, ownership code D, individual
Mar 9, 2012 to presentfactForm ADV
← NICHOLS, CHARLESOwnerCHIEF INVESTMENT OFFICER, MEMBER, ownership code C, individual
Mar 9, 2012 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:49fea254-bc50-20b8-c79e-84811be5fc3e
First observed: Mar 9, 2012
Last observed: May 26, 2020 76 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.

NICHOLS ASSET MANAGEMENT LLC

CRD 111749

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:49fea254-bc50-20b8-c79e-84811be5fc3e

Data as of May 26, 2020 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 9:07 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

NICHOLS, CHARLES

CHIEF INVESTMENT OFFICER, MEMBER

yes

06/1995

Mar 9, 2012

May 26, 2020

NICHOLS, PATRICIA, MACGUIRE

CHIEF COMPLIANCE OFFICER, MEMBER

yes

06/1995

Mar 9, 2012

May 26, 2020

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2019

Feb 27, 2020

$159M

$63.5M

n/a

2018

Feb 15, 2019

$150M

$93.2M

n/a

2017

Mar 10, 2018

$156M

$101M

n/a

2016

Feb 27, 2017

$131M

$92.6M

n/a

2015

Feb 15, 2016

$542M

$519M

n/a

2014

Mar 4, 2015

$582M

$561M

n/a

2013

Feb 28, 2014

$555M

$510M

n/a

2012

Mar 15, 2013

$287M

$249M

n/a

2011

Mar 9, 2012

$226M

$192M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2019

$159M

$150M

5.9%

$131M

6.6%