SourcingSourcing

NOBSCOT INVESTMENT MANAGEMENT LLC

B62
CRD 283289·SEC 801-131154·WELLESLEY, MA
AUM
$164.2M
$100M-$500M
Est. Revenue
$1.6M
@ 1% on AUM
Est. EBITDA
$493K
@ 30% margin
Est. Deal Value
$3.9M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
NOBSCOT INVESTMENT MANAGEMENT LLC
CRD
283289
SEC file #
801-131154
EIN
—
DBA names
—

Economics

AUM
$164.2M
AUM band
$100M-$500M
AUM trajectory
'25'26
$143.8M → $164.2M▲ +14%
Client mix
Individuals High Net Worth10

Operations

Employees (total)
1
Advisory staff (per ADV)
1
Advisory staff (5-yr trend)
'25'26
1 advisors → 1 advisors▬ 0%
Primary office
WELLESLEY MA
Branches
—

Custodian & Brokerage

Primary custodian
Fidelitymedium confidence
Services offered
Portfolio mgmt — individualsPortfolio mgmt — businesses
Fee basis
% of AUM

Filings

Latest ADV filing
01/23/2026
ADV-W filed at
—
Website
nobscotinvestment.com

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
SMITH, CATHERINE, ANNE
Top Owner Pct
87.5
Top Owner Entity Kind
I
Owner Count
1
Control Persons
SMITH, CATHERINE, ANNE
Solo Advisor Indicator
Yes
Succession Risk Solo Owner
Yes
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
ok
Rdap Domain
NOBSCOTINVESTMENT.COM
Rdap Domain Creation Date
2017-03-10T22:07:11Z
Rdap Firm Age Years
9
Rdap Firm Age Band
5-10y
Rdap Registrar
GoDaddy.com, LLC

Retirement-plan book (Form 5500) ★

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

Retirement Plan Book
No

SEC EDGAR

Edgar Registered
No

Compliance & brand

Firm Registration Status
active

All other collected signals (14)

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
1
Bc Firm IAR Count
1
Custodian Candidates
Window
Fidelity7
Full
Fidelity9
E*trade4
Firm Has Custody
Yes
Mailing Office Differs
No
Rdap Domain Expiration Date
2027-03-10T22:07:11Z
Rdap Domain Last Changed
2025-03-11T17:31:39Z
Rdap Nameservers
Ns31.domaincontrol.comNs32.domaincontrol.com
Rdap Secure Dns Enabled
No
Rdap Status
Client Delete ProhibitedClient Renew ProhibitedClient Transfer ProhibitedClient Update Prohibited
Top Owner CRD
4327812
Trust Company Affiliate
No

People (1)

1
SMITH, CATHERINE, ANNE
IAR · Direct Owner · 87.5%
4327812