{
  "crd_number": 136569,
  "slug": "asset-and-retirement-management-136569",
  "primary_business_name": "ASSET & RETIREMENT MANAGEMENT",
  "legal_name": "NORTON, DALE FRANKLIN JR",
  "dbas": [],
  "city": null,
  "state": null,
  "country": null,
  "cbsa_code": null,
  "metro": null,
  "registration_type": "state",
  "registration_status": "APPROVED",
  "registration_date": "2002-04-24",
  "years_registered": 24,
  "period": "2026-10-01",
  "filing_date": "2026-06-23",
  "carried_forward": false,
  "raum_total": 673708.0,
  "raum_discretionary": 673708.0,
  "raum_non_discretionary": 0.0,
  "raum_band": "under_25m",
  "raum_band_label": "Under $25 million",
  "total_employees": 1,
  "advisory_employees": 1,
  "client_count_bucket": "fewer_than_5_in_some_types",
  "clients_by_type": {
    "individuals": {
      "raum": 327491.0,
      "count": 53
    },
    "high_net_worth_individuals": {
      "raum": 346217.0,
      "count": 2,
      "fewer_than_5": true
    }
  },
  "compensation_types": [
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "portfolio_management_individuals",
    "selection_of_other_advisers"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 3,
  "states_registered": [
    "CA"
  ],
  "websites": [],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/136569",
  "listing_state": "CA",
  "disclosure_items": [
    {
      "item": "11.A(1)",
      "question": "In the past ten years, has the firm or an advisory affiliate been convicted of, or pleaded guilty or no contest to, a felony?"
    },
    {
      "item": "11.A(2)",
      "question": "In the past ten years, has the firm or an advisory affiliate been charged with a felony?"
    },
    {
      "item": "11.D(5)",
      "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever denied, suspended, or revoked the registration or license of the firm or an advisory affiliate, prevented either by order from associating with an investment-related business, or restricted either one's activity?"
    }
  ],
  "city_as_filed": null,
  "url": "https://advisorcensus.com/firm/asset-and-retirement-management-136569",
  "display_name": "Asset & Retirement Management",
  "summary": "Asset & Retirement Management is a state-registered investment advisory firm, registered since 2002, reporting under $25 million in regulatory assets under management in its Form ADV filing dated June 23, 2026.",
  "citation": "AdvisorCensus. Asset & Retirement Management (CRD 136569): Form ADV filing data as of October 2026.",
  "registration_type_label": "State-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management"
  ],
  "advisory_activity_labels": [
    "Portfolio management for individuals and/or small businesses",
    "Selection of other advisers (including private fund managers)"
  ],
  "quick_answers": [
    {
      "q": "How is Asset & Retirement Management compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Asset & Retirement Management reports these compensation arrangements: a percentage of assets under its management. The amounts are in Item 5 of its Form ADV Part 2A brochure."
    },
    {
      "q": "Is Asset & Retirement Management registered with the SEC or a state?",
      "a": "Asset & Retirement Management is a state-registered investment advisory firm, registered since 2002. Status as filed: APPROVED. CRD 136569."
    },
    {
      "q": "How much does Asset & Retirement Management manage?",
      "a": "Asset & Retirement Management reports $673,708 in regulatory assets under management in its Form ADV filing dated June 23, 2026 (100% discretionary)."
    },
    {
      "q": "What types of clients does Asset & Retirement Management serve?",
      "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (53); high net worth individuals (2)."
    },
    {
      "q": "Does Asset & Retirement Management report any disciplinary disclosures?",
      "a": "Reports 3 disclosure items on Form ADV Item 11: yes answers to 11.A(1) (felony conviction or plea in the past ten years), 11.A(2) (felony charge in the past ten years), and 11.D(5) (another regulator's denial, suspension, or revocation of a registration or license, bar, or restriction). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/136569"
    }
  ],
  "filing_history": [],
  "recent_changes": [],
  "fees_from_brochure": null,
  "custodians": [],
  "custodians_note": null,
  "markdown_url": "https://advisorcensus.com/firm/asset-and-retirement-management-136569.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 53,
      "fewer_than_5": false,
      "raum": 327491.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 2,
      "fewer_than_5": true,
      "raum": 346217.0
    }
  ],
  "disclosure_line": "Reports 3 disclosure items on Form ADV Item 11.",
  "indexable": true,
  "suppressed": false,
  "claimed": false,
  "enhanced": false,
  "provided_by_the_firm": null,
  "source": {
    "name": "Form ADV",
    "as_of": "2026-10-01",
    "iapd_url": "https://adviserinfo.sec.gov/firm/summary/136569",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}