Safford Nicholas H & Co Inc
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
Nicholas H. Safford & Co., Inc. provides professional investment counsel and portfolio management to individuals, high‑net‑worth clients, trusts, IRAs, charitable institutions, foundations, endowments and other investment advisory firms. The firm is a four‑advisor team overseeing about $1.8 billion in assets and typically requires a $5 million portfolio minimum.
The firm’s investment advice is driven by in‑house fundamental research, including company visits and discussions with management, and emphasizes high‑quality, dividend‑paying companies with a dividend‑growth orientation; it also applies the same research framework to selected non‑U.S. equities and conservative fixed‑income laddering. Accounts are generally managed on a non‑discretionary basis, with recommendations tailored to client objectives and regular telephone contact used to review and obtain client approvals before trades.
What is distinctive about the firm compared with peers is its high assets under management per advisor and the fact that the vast majority of its assets are non‑discretionary (roughly $1.73 billion non‑discretionary versus about $69.5 million discretionary); it also accepts other investment adviser clients, which is uncommon for similar teams. The firm does not list financial planning among its services, follows a client‑directed brokerage policy, provides quarterly printed asset appraisals to clients, and maintains a formal Code of Ethics and personal‑trading controls.
Client services
Expertise
Fee options
$0 - $2,000,000: 0.60% annually (equivalent to $6 per thousand) $2,000,001 - $4,000,000: 0.50% annually (equivalent to $5 per thousand) $4,000,001+: 0.40% annually (equivalent to $4 per thousand)
Account minimum: $5,000,000
Main office
9 Cleaves Street
Rockport MA 01966-1520
Advisors at this office
4
Most active in
California · Florida · Illinois · Maine · Massachusetts · Virginia
Also doing business as
Safford Investment Counsel · Safford Nicholas H & Co Inc
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Advisors at this firm
Norton S
Series 65
Rockport, MA
Safford Nicholas H & Co Inc
Norton Sloan III is a financial advisor with Nicholas H. Safford & Co., Inc. in Rockport, MA, holding a Series 65 designation and bringing 21 years of industry experience. He has worked with Nicholas H. Safford & Co., Inc. since 2005. Nicholas H. Safford & Co., Inc. is a four-advisor team managing approximately $1.8 billion primarily for individuals, high-net-worth clients, trusts, and institutions. The firm focuses on fundamental research-driven investment advice, emphasizing high-quality, dividend-paying companies with a dividend-growth orientation and maintains predominantly non-discretionary accounts tailored to client objectives.
Matthew S
Series 65
Rockport, MA
Safford Nicholas H & Co Inc
Matthew Safford is a financial advisor at Nicholas H. Safford & Co., Inc. with a Series 65 designation and three years of industry experience. Before joining the firm in 2022, he worked at Deloitte & Touche for two years and attended Bowdoin College. Nicholas H. Safford & Co., Inc. is a four-advisor team managing approximately $1.8 billion in assets, primarily serving individuals, high-net-worth clients, and institutions. The firm’s investment approach is based on in-house fundamental research and focuses on high-quality, dividend-paying companies, managing most assets on a non-discretionary basis with client-directed brokerage.
William D
Series 65
Rockport, MA
Safford Nicholas H & Co Inc
William Dwyer is a financial advisor at Nicholas H. Safford & Co., Inc. in Rockport, MA, holding a Series 65 designation with eight years of industry experience. Prior to his advisory role, he was involved with the Pleon Yacht Club for four years. Nicholas H. Safford & Co., Inc. provides investment counsel and portfolio management to individuals, trusts, IRAs, and institutional clients, focusing on a research-driven approach that emphasizes fundamentally sound companies and tailored client recommendations through ongoing review and communication.
John S
Series 63
Rockport, MA
Safford Nicholas H & Co Inc
John Safford is a financial advisor at Nicholas H. Safford & Co., Inc. in Rockport, MA, holding a Series 63 designation with 31 years of industry experience. He has been with Nicholas H. Safford & Co., Inc. since 1993. Nicholas H. Safford & Co., Inc. provides investment counsel and portfolio management to individuals, trusts, IRAs, and various institutional clients, including charitable institutions and endowments. The firm employs a research-driven investment approach focused on fundamentally sound companies with earnings and dividend growth, supplemented by select non-U.S. equities and high-quality fixed income, operating primarily on a non-discretionary basis.
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