NORTON CAPITAL MANAGEMENT, INC.
Adviser information for NORTON CAPITAL MANAGEMENT, INC. last updated from Form ADV on September 18th, 2023. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | JUNE |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 2 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 2 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 256 | $113.1M |
| Non-Discretionary | 32 | $10.9M |
| Total | 288 | $124.1M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 133 | $36.1M |
| HNW Individuals | 39 | $80.5M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 5 | $7.5M |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUMHourly chargesFLAT FEES |
Identifiers
| SEC RIA File Number | 801-111866 |
|---|---|
| SEC ERA File Number | 801-111866 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 110398 |
| Legal Entity Identifier | None |
Principal Office
440 MONTICELLO AVENUESUITE 1610
NORFOLK
VA
United States
Monday - Friday, 9:00-4:30 M-TH AND 9:00-4:00 FRIDAY
Tel: (757) 623-1200, Fax: (757) 623-1100
Chief Compliance Officer
RAYMOND J. NORTON, CFA
PRESIDENT
440 MONTICELLO AVENUE
SUITE 1610
NORFOLK
VA
United States
Tel:
757-623-1200
Fax:
757-623-1100
R*************@****************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| NORTON, RAYMOND, JOHN | Individual | – | PRESIDENT, DIRECTOR, SECRETARY/TREASURER AND CHIEF COMPLIANCE OFFICER | 05/1993 | 50-75% |
| NORTON, KIMBERLY, MULHEREN | Individual | – | SHAREHOLDER | 05/1993 | 50-75% |