# Norton-Barkley Asset Management

> Norton-Barkley Asset Management is a state-registered investment advisory firm, registered since 2001, reporting under $25 million in regulatory assets under management in its Form ADV filing dated March 24, 2026.

- CRD: 113977
- Filed as: NORTON-BARKLEY ASSET MANAGEMENT
- Legal name: Norton-Barkley Asset Management,llc
- Registration: State-registered investment adviser (status as filed: APPROVED)
- Location: Registered in Colorado
- Filing period: October 2026
- Form ADV filing dated: March 24, 2026
- Public record (IAPD): https://adviserinfo.sec.gov/firm/summary/113977
- AdvisorCensus page: https://advisorcensus.com/firm/norton-barkley-asset-management-113977

## Quick answers

**How is Norton-Barkley Asset Management compensated?**
On its Form ADV (Item 5.E, October 2026), Norton-Barkley Asset Management reports these compensation arrangements: a percentage of assets under its management.

**Is Norton-Barkley Asset Management registered with the SEC or a state?**
Norton-Barkley Asset Management is a state-registered investment advisory firm, registered since 2001. Status as filed: APPROVED. CRD 113977.

**How much does Norton-Barkley Asset Management manage?**
Norton-Barkley Asset Management reports $14,324,228 in regulatory assets under management in its Form ADV filing dated March 24, 2026 (100% discretionary).

**What types of clients does Norton-Barkley Asset Management serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (9).

**Does Norton-Barkley Asset Management report any disciplinary disclosures?**
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/113977

## From the Form ADV filing

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

### Regulatory assets under management (Item 5.F)
- Total: $14,324,228
- Discretionary: $14,324,228
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 9 | $14,324,228 |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services

### Firm details
- Registered since: 2001 (25 years)
- Employees: 1 total, 1 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: CO
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Norton-Barkley Asset Management (CRD 113977): Form ADV filing data as of October 2026.