DFX Intelligence

Data Factory

RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

NORTON CAPITAL MANAGEMENT, INC.

CRD 110398

HENRICO, VA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:45c60dff-54a5-41c2-9826-fe34bf011b4a

Data as of Sep 19, 2025 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 4:18 PM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 4
On other graphs: 0
Observed: Mar 28, 2012 to Sep 19, 2025
18 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: independent wealth managerderivedprivate_client_share=0.93 fund_share=0.0 institutional_share=0.07 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $137MItem 5.F on the latest filing (2025-09-19); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $124M
Private client RAUM: $128MderivedItem 5.D individuals plus high net worth individuals
Private client share: 93%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 1
RAUM per advisor: $137Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 6
Advisory employees: 2
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 264
Individual clients: 82
High net worth clients: 36
Custody, client assets: $909,916
SEC number: 801-111866
CRD: 110398
Filings on the tape: 18
First filed: Mar 28, 2012
Latest filed: Sep 19, 2025
Organised: Corporation, DE

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
JESSICA AMILU BUCKLEY	n/a	HENRICO, VA	20	21	1	no

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
NORTON, RAYMOND, JOHN	CHIEF COMPLIANCE OFFICER	Na	yes	05/1993	Mar 28, 2012	Dec 26, 2024
REDMOND ASSET MANAGEMENT, LLC	Shareholder	E	yes	10/2024	Dec 1, 2024	Dec 26, 2024
REDMOND, ROBERT, SCOTT	President	Na	yes	10/2024	Dec 1, 2024	Dec 26, 2024

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
REDMOND ASSET MANAGEMENT, LLC	n/a	Independent wealth	$537M	Y	yes	n/a

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2024	Aug 22, 2024	$133M	$121M	2	2	0	n/a	n/a
2023	Sep 18, 2023	$124M	$113M	2	2	0	n/a	n/a
2022	Sep 27, 2022	$116M	$106M	3	3	1	n/a	n/a
2021	Sep 23, 2021	$130M	$117M	2	2	0	n/a	n/a
2020	Sep 17, 2020	$108M	$97.9M	2	2	0	n/a	n/a
2019	Sep 30, 2019	$112M	$99.4M	2	2	0	n/a	n/a
2018	Sep 26, 2018	$102M	$83.6M	4	1	0	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2024	$137M	$124M	10.1%	$130M	1.8%	6	2	0	0

Relationships

Affiliated with (2)

← REDMOND ASSET MANAGEMENT, LLCRegistered adviserother investment adviser, control, common control
factForm ADV
→ REDMOND ASSET MANAGEMENT, LLCRegistered adviserother investment adviser, control, common control
factForm ADV

Registered with (3)

← JESSICA AMILU BUCKLEYAdvisorregistration: current employment
Jun 22, 2006 to presentfactForm ADV
← Vernon Chester PlackAdvisorregistration: previous registration
Feb 8, 2022 to Mar 1, 2023factForm ADV
← MELIA BREEZE KRUMMAdvisorregistration: previous registration
Mar 13, 2002 to Aug 31, 2006factForm ADV

Controls (3)

← REDMOND ASSET MANAGEMENT, LLCOwnerSHAREHOLDER, ownership code E, domestic entity
Dec 1, 2024 to Dec 26, 2024factForm ADV
← REDMOND, ROBERT, SCOTTOwnerPRESIDENT, ownership code NA, individual
Dec 1, 2024 to Dec 26, 2024factForm ADV
← NORTON, RAYMOND, JOHNOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 28, 2012 to Dec 26, 2024factForm ADV

Dated events

Occurred
Dec 1, 2024
Control person joined
Scott Robert Redmond (President) appeared on Schedule A of Norton Capital Management, Inc.
Form ADVobserved 4 days ago
Occurred
Dec 1, 2024
Control person left
Mulheren Kimberly Norton (Shareholder) no longer on Schedule A of Norton Capital Management, Inc. (listed 2024-08-30, absent 2024-12-01)
Form ADVobserved 4 days ago
Occurred
Mar 1, 2023
Advisor changed firm
Vernon Chester Plack left Norton Capital Management, Inc. for Chimborazo Investment Research (registered 2023-08-22)
Form ADVobserved 4 days ago
Occurred
Sep 15, 2017
First Form ADV filing
Norton Capital Management, Inc. filed its initial SEC registration (Form ADV)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:45c60dff-54a5-41c2-9826-fe34bf011b4a
First observed: Mar 28, 2012
Last observed: Sep 19, 2025 12 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

NORTON CAPITAL MANAGEMENT, INC.

CRD 110398

HENRICO, VA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:45c60dff-54a5-41c2-9826-fe34bf011b4a

Data as of Sep 19, 2025 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 4:18 PM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

JESSICA AMILU BUCKLEY

n/a

HENRICO, VA

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

NORTON, RAYMOND, JOHN

CHIEF COMPLIANCE OFFICER

yes

05/1993

Mar 28, 2012

Dec 26, 2024

REDMOND ASSET MANAGEMENT, LLC

Shareholder

yes

10/2024

Dec 1, 2024

Dec 26, 2024

REDMOND, ROBERT, SCOTT

President

yes

10/2024

Dec 1, 2024

Dec 26, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

REDMOND ASSET MANAGEMENT, LLC

n/a

Independent wealth

$537M

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2024

Aug 22, 2024

$133M

$121M

n/a

2023

Sep 18, 2023

$124M

$113M

n/a

2022

Sep 27, 2022

$116M

$106M

n/a

2021

Sep 23, 2021

$130M

$117M

n/a

2020

Sep 17, 2020

$108M

$97.9M

n/a

2019

Sep 30, 2019

$112M

$99.4M

n/a

2018

Sep 26, 2018

$102M

$83.6M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2024

$137M

$124M

10.1%

$130M

1.8%