SourcingSourcing

SAFFORD NICHOLAS H & CO INC

C42
CRD 104740·SEC 801-19482·ROCKPORT, MA
AUM
$1.80B
$1B+
Est. Revenue
$18.0M
@ 1% on AUM
Est. EBITDA
$5.4M
@ 30% margin
Est. Deal Value
$43.1M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
SAFFORD NICHOLAS H & CO INC
CRD
104740
SEC file #
801-19482
EIN
—
DBA names
—

Economics

AUM
$1.80B
AUM band
$1B+
AUM trajectory
'20'26
$1.14B → $1.80B▲ +58%
Client mix
Individuals High Net Worth136
Individuals Other19

Operations

Employees (total)
8
Advisory staff (per ADV)
4
Advisory staff (5-yr trend)
'20'26
4 advisors → 4 advisors▬ 0%
Primary office
ROCKPORT MA
Branches
—

Custodian & Brokerage

Primary custodian
E*Tradelow confidence
Services offered
Portfolio mgmt — individualsOther Advisory Services
Fee basis
% of AUMFixed feesOther Compensation

Filings

Latest ADV filing
03/30/2026
ADV-W filed at
—
Website
—

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
SAFFORD, JOHN, EAST APTHORP
Top Owner Pct
87.5
Top Owner Entity Kind
I
Owner Count
5
Control Persons
SAFFORD, JOHN, EAST APTHORP
Safford, Deborah, Porter
Solo Advisor Indicator
No
Succession Risk Solo Owner
Yes
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No

SEC EDGAR

Edgar Registered
No

Local market & wealth

Rank targets by how wealthy the local market is

Soi High Wealth Score
0.3667
Soi Zip Pct 200k Plus
0.1333
Soi Zip Returns 200k Plus
520
Soi Zip Total AGI
622,434
Census Median Hh Income
95,091
Census High Income Households
589
Census Median Age
58.4
Census Pop 65 66 Total
323
Census Total Households
3,282
Fdic Zip Total Deposits
5,341,655,000
Fdic Zip Branch Count
102
Fdic Zip Top Banks
The Rockport National Bank
Institution for Savings in Newburyport and Its Vicinity

Compliance & brand

Firm Registration Status
active

All other collected signals (23)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
0
Bc Firm Active IA Count
4
Bc Firm IAR Count
4
Census Bachelors Plus Count
1,664
Census Median Home Value
651,200
Census Unemployed Count
296
Census Zip
01966
Custodian Candidates
Full
E*trade4
Fidelity2
Northern Trust2
Fdic Zip Branches Raw
The Rockport National BankRockport, MA
The Rockport National BankRockport, MA
Fdic Zip HHI
2202.51
Fdic Zip Top Bank Share Pct
29.24
Fdic Zip Year
2025
Firm Has Custody
Yes
Mailing Office Differs
No
Soi Year
2022
Soi Zip Distribution
Stub 1
AGI10,442
Returns900
Stub 2
AGI22,254
Returns600
Stub 3
AGI33,478
Returns540
Soi Zip Total Business Income
25,936
Soi Zip Total Cap Gains
69,782
Soi Zip Total Dividends
24,493
Soi Zip Total Returns
3,900
Top Owner CRD
2253077
Trust Company Affiliate
No

People (6)

6
SAFFORD, JOHN, EAST APTHORP
IAR · Direct Owner · 87.5%
2253077
Dwyer, William, Parker
IAR · Executive Officer · 2.5%
6795420
SLOAN, NORTON, QUINCY
IAR · Executive Officer · 2.5%
4965593
Safford, Deborah, Porter
Executive Officer · 2.5%
7245868
MALCOLMSON, ELIZABETH, ANNE
Executive Officer · 2.5%
5036202
Matthew George Porter Safford
IAR
7664911