Dale Norton
Dale Norton is a registered investment advisor at Asset & Retirement Management, based in Rigby, ID, with 42 years of industry experience. Dale operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Investment Management, Retirement Planning, Tax Planning. Their firm serves 58 clients with $6.5M in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $250K | 2.00% |
| $250K - $500K | 1.95% |
| $500K - $2.0M | 1.85% |
| $2.0M - $5.0M | 1.75% |
| $5M+ | 1.65% |
Fees are for the EQIS platform. For assets managed via Guggenheim, ARM charges 1% annually, assessed quarterly. Guggenheim also assesses its own separate fees.
Fee Estimator
Location
Rigby, ID
Get directionsHistory
Regulatory History (8)
Customer Dispute
December 2021Regulatory
July 2017Criminal
January 2017Employment Separation After Allegations
December 2016Customer Dispute
April 1997Customer Dispute
May 1995Customer Dispute
April 1994Customer Dispute
March 1993Other Business Activities
Dale is the 100% owner of D. Frank Norton CPA, providing accounting, tax preparation, tax reviews, and planning services since 1983, taking about 10-20% of his time annually, but fluctuating between nearly full-time during peak season and minimal time during other times of the year. Dale also owns a summer rental home since 2015, dedicating a few hours per week to it.
Employment History
Current Registrations
Asset & Retirement Management
Previous Registrations
Independent Financial Group, LLC
Independent Financial Group, LLCBroker
Qa3 Financial CORP.Broker
Mutual Service CorporationBroker
Titan/value Equities Group, INC.Broker
Westlake Securities, INC.Broker
State Registrations1 state
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.