# Asset & Retirement Management

> 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.

- CRD: 136569
- Filed as: ASSET & RETIREMENT MANAGEMENT
- Legal name: Norton, Dale Franklin JR
- Registration: State-registered investment adviser (status as filed: APPROVED)
- Location: Registered in California
- Filing period: October 2026
- Form ADV filing dated: June 23, 2026
- Public record (IAPD): https://adviserinfo.sec.gov/firm/summary/136569
- AdvisorCensus page: https://advisorcensus.com/firm/asset-and-retirement-management-136569

## Quick answers

**How is Asset & Retirement Management compensated?**
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.

**Is Asset & Retirement Management registered with the SEC or a state?**
Asset & Retirement Management is a state-registered investment advisory firm, registered since 2002. Status as filed: APPROVED. CRD 136569.

**How much does Asset & Retirement Management manage?**
Asset & Retirement Management reports $673,708 in regulatory assets under management in its Form ADV filing dated June 23, 2026 (100% discretionary).

**What types of clients does Asset & Retirement Management serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (53); high net worth individuals (2).

**Does Asset & Retirement Management report any disciplinary disclosures?**
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

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management

### Regulatory assets under management (Item 5.F)
- Total: $673,708
- Discretionary: $673,708
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 53 | $327,491 |
| High net worth individuals | 2 | $346,217 |

### Advisory services (Item 5.G)
- Portfolio management for individuals and/or small businesses
- Selection of other advisers (including private fund managers)

### Firm details
- Registered since: 2002 (24 years)
- Employees: 1 total, 1 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: CA
- Disclosures (Item 11): Reports 3 disclosure items on Form ADV Item 11.

### Item 11 questions answered yes
- 11.A(1): In the past ten years, has the firm or an advisory affiliate been convicted of, or pleaded guilty or no contest to, a felony?
- 11.A(2): In the past ten years, has the firm or an advisory affiliate been charged with a felony?
- 11.D(5): 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?

Each question covers the firm and its advisory affiliates: its current employees other than clerical staff, its officers, partners, and directors, and anyone who controls the firm or is controlled by it. One event can produce yes answers to several questions. SEC-registered advisers and exempt reporting advisers may leave out events more than ten years old, and may answer 11.A(2) and 11.B(2) for pending charges only. The detail of each yes answer is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/136569

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Asset & Retirement Management (CRD 136569): Form ADV filing data as of October 2026.