Welcome to Nottingham’s Frequently Asked Questions (FAQ’s) Page. Here you will find answers to commonly asked questions in the industry, as well as insight into how Nottingham operates.

1. Why should I choose Nottingham Advisors?

Far removed from the noise of Wall Street, Nottingham Advisors is a boutique asset manager that takes pride in the individualized services provided to our clients. We are a pioneer in the use of exchange-traded funds in client portfolios dating back to 2001, and have managed ETF-only portfolios since 2005, becoming experts in the ETF space.

2. What are exchange-traded funds (ETFs)?

An exchange-traded fund is an investment vehicle that trades daily on an exchange, offers intra-day liquidity, is fully transparent, and is tax efficient. ETFs track an underlying index and hold a basket of stocks, bonds, and/or alternative asset classes such as currencies, commodities, and real estate.

3. Why do I need an ETF manager?

Contrary to popular belief, not all ETFs are created equal. Nottingham Advisors is an expert in ETF due diligence and implementation, having utilized the benefits of ETFs since 2001.

4. What kind of asset allocation framework does Nottingham Advisors believe in?

Nottingham Advisors has developed investment strategies based on the core-satellite approach to asset allocation. The core-satellite approach seeks to gain core “beta” exposure with 80% of the strategy’s holdings, utilizing the remaining 20% satellite to tactically add “alpha” to the portfolio.

5. What types of management styles does Nottingham Advisors employ?

Nottingham Advisors utilizes both passive and active management strategies. In terms of passive management, Nottingham has been a strong believer in the power of indexing since ETFs were first used in client accounts back in 2001. We also offer an active management approach through the Nottingham Advisors Select Managers Program (NASMP).

6. Will my assets be commingled?

No. Nottingham Advisors employs separately managed accounts (SMAs) that keep each individual’s assets separate. All portfolios are structured and managed to a client-specific risk and return target.

7. What types of accounts does Nottingham Advisors manage?

Nottingham Advisors manages investment portfolios for both retail and institutional clients, including, but not limited to the following: Non-qualified personal accounts, IRAs, 401(k), 403(b), 529s, Trusts, Defined Benefit Pensions, Endowments, Profit Sharing Plans, Foundations, Religious Institutions, and Not-for-Profits.

8. What type of fees does Nottingham charge?

Nottingham Advisors charges a management fee based on a percentage of the client’s account value. The fee is paid in advance on a quarterly basis.

9. What is the minimum amount required to open an account?

Nottingham Advisors has a stated minimum account size of $100,000.

10. What custodians does Nottingham Advisors use, and how do I open an account?

As a registered investment advisor, Nottingham Advisors does not function as a custodian, but instead manages client assets on a variety of platforms.

11. If I am a Financial Advisor, how can Nottingham help grow my business?

Nottingham Advisors partners with investment advisors to help them win business and keep business. LEARN MORE

12. Does Nottingham Advisors claim compliance with Global Investment Performance Standards (GIPS®)?

Yes. Nottingham Advisors has claimed compliance with GIPS ® since 2005. Information on our GIPS® compliant composites can be furnished upon request.

13. How does Nottingham Advisors communicate with clients?

Nottingham communicates with clients regularly through our publications, newsletters, and videos. We publish both weekly and monthly commentary.

14. Does Nottingham Advisors hold itself to a fiduciary standard?

As an SEC registered investment adviser, Nottingham Advisors has a fiduciary duty to act in the best interest of its clients at all times. This means that we will seek to put the clients’ best interest first and act with skill, care, diligence and good judgment. In addition, we will provide full and fair disclosure of all important facts and avoid conflicts of interest.

15. What is the Form ADV Part 2A and 2B?

Form ADV is the uniform form used by investment advisers to register with both the Securities and Exchange Commission (SEC) and state securities authorities. Part 2A contains information such as the types of advisory services offered, the adviser’s fee schedule and conflicts of interest. Part 2B provides the educational and business background of management and key advisory personnel of the adviser.

16. How does Nottingham strive to achieve best execution for clients?

Nottingham utilizes both the step-out and block trading functions to trade in size and achieve best execution for all clients.

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