{"url":"https://nivawealth.com/firms/nobscot-investment-management-283289","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/283289","regulatoryAum":164246947,"crd":"283289","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"4327812","suffix":null,"lastName":"SMITH","firstName":"CATHERINE","middleName":"ANNE"}],"total":1,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2025-02-03","regulatoryAum":143828104,"clients":11,"employees":1,"offices":1},{"filedOn":"2026-01-23","regulatoryAum":164246947,"clients":10,"employees":1,"offices":1}],"secFileNumber":"801-131154","legalName":"Nobscot Investment Management LLC","displayName":"Nobscot Investment Management","slug":"nobscot-investment-management-283289","website":"https://nobscotinvest.com/","classification":{"segment":"individuals","segmentLabel":"Wealth 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BROCHURE","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1003626","versionId":1003626,"submittedOn":"2026-01-23"}]},"custodians":[{"name":"National Financial Services LLC","shortName":"Fidelity","location":"Boston, MA","smaAssets":164246947}],"custodyNote":"Nobscot Investment Management has custody of $117M in client assets for 6 clients.","otherCustodians":[],"leadership":[{"name":"Catherine Smith","title":"Managing Member/Chief Compliance Officer","crd":"4327812"}],"ownership":[{"label":"Catherine Smith","detail":"Managing member/chief compliance officer in the 75% or more ownership band and a control person, since March 2016."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Massachusetts","offices":1,"addresses":[{"street":"572 Washington Street, Suite 4","city":"Wellesley","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"781-237-2700","stateRegisteredReps":1,"otherAdviserReps":0,"compensation":["A percentage of assets under management"],"activities":["Portfolio management for individuals and/or small businesses","Portfolio management for businesses (other than small businesses) or institutional clients"],"financialPlanningClients":null,"assetMix":[{"label":"Exchange-traded equity securities","percent":23},{"label":"U.S. government/agency bonds","percent":28},{"label":"U.S. state and local bonds","percent":3},{"label":"Securities issued by registered investment companies or business development companies","percent":37},{"label":"Cash and cash equivalents","percent":9}],"privateFunds":0},"sources":{"adv1FilingDate":"23 January 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/283289/PDF/283289.pdf","brochureDate":"23 January 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1003626","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Nobscot Investment Management have?","answer":"Nobscot Investment Management has 10 clients and manages $164 million for them, as of January 2026. They include 10 high-net-worth individuals.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 23 January 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Nobscot Investment Management offer?","answer":"Nobscot Investment Management provides portfolio management for individuals and small businesses and portfolio management for institutions.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does Nobscot Investment Management charge?","answer":"Nobscot Investment Management charges 0.30%–0.90% a year for its Investment Advisory Services. Each asset band is charged at its own rate. The fee is billed in arrears, is negotiable and requires an account of at least $3,000,000.","source":"NOBSCOT INVESTMENT MANAGEMENT LLC BROCHURE, filed 23 January 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Nobscot Investment Management use?","answer":"Nobscot Investment Management’s separately managed account assets are held at National Financial Services LLC (Boston, MA), with $164M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 23 January 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Nobscot Investment Management have?","answer":"Nobscot Investment Management has 1 investment adviser representative registered with state securities authorities, out of 1 employees, and 1 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Nobscot Investment Management invest in?","answer":"At the end of its last fiscal year, Nobscot Investment Management’s separately managed accounts held 37% registered funds (mutual funds, ETFs, BDCs), 28% U.S. government and agency bonds, 23% exchange-traded equities, 9% cash and equivalents and 3% state and local bonds.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Does Nobscot Investment Management have a minimum investment?","answer":"Yes, Nobscot Investment Management’s minimum account size for its Investment Advisory Services is $3M.","source":"NOBSCOT INVESTMENT MANAGEMENT LLC BROCHURE, filed 23 January 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Who owns Nobscot Investment Management?","answer":"Nobscot Investment Management’s direct owner is Catherine Smith (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 23 January 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Nobscot Investment Management get paid?","answer":"Nobscot Investment Management is paid through a percentage of assets under management. Its Form ADV lists no commissions or performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Nobscot Investment Management?","answer":"Nobscot Investment Management’s main office is at 572 Washington Street, Suite 4, Wellesley, MA 02482. Its phone number is 781-237-2700. Its website is nobscotinvest.com.","source":"Form ADV Part 1A, Item 1.F, filed 23 January 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}