Norris Wealth Management, LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$6,687,573
This total excludes 7 entity clients. Entities are clients such as corporations, partnerships, or trusts.
Clients
27
19% high-net-worth
Advisors
1
of 1 employees
Firm type
Independent
1 advisor with up to 2 employees
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
27
TypicalAverage account size
$247,688
About
Norris Wealth Management advises sponsors and participants of qualified retirement plans (including profit sharing and 401(k) plans) and provides financial planning and investment advisory services to individuals and certain business entities. The firm accepts specified fiduciary roles for plan sponsors, offers pension consulting and participant education, and maintains client assets at independent custodians with accounts managed on a non-discretionary basis.
The firm documents goals and implementation in written investment policy statements and typically implements strategies through third‑party money managers and institutional mutual funds and ETFs, with periodic monitoring and quarterly reviews of designated investment alternatives using fi360 fiduciary scoring. Plan-level services include plan committee support, ongoing monitoring of plan investment options, employee education sessions and one‑on‑one enrollment assistance, and the advisor consults with clients prior to effecting trades.
Compared with many independent solo advisors, Norris’s regular work with corporate and pension/profit‑sharing plan clients and its formal pension‑consulting services are relatively uncommon for firms of this size. The firm operates on a fee‑only basis, does not accept commissions or 12b‑1 fees, and maintains internal standards that emphasize CFP® and AIF® credentials as part of its fiduciary practice.
Client services
Financial planning
Portfolio management
Pension consulting
Selection of other advisers
Educational seminars or workshops
Expertise
Retirement plans for business owners (SEP, solo 401k)
Cash flow / budgeting
General retirement planning
General estate planning guidance
Occupation focus
Founder/Business Owner
Fee options
Financial planning flat fee of $1,850 for up to 15 hours; additional planning time billed at $165 per hour
Less than $1,000,000 - $1,000,000: 0.65% annually (0.1625% quarterly) $1,000,000 - $4,000,000: 0.50% annually (0.125% quarterly) $4,000,000+: 0.45% annually (0.1125% quarterly)
$165 - $195 per hour for consulting services
Account minimum: No minimum for profit sharing 401(k) plans and other qualified retirement plans; minimum annual fee of $1,250 for advisory services to employer sponsored qualified retirement plans; minimum initial investment amount for participation in third-party money manager programs varies by each third-party manager and is not controlled by NWM. Minimum fee: Minimum annual fee of $1,250 for advisory services to employer sponsored qualified retirement plans Fee-only: Fee-only investment advisory and financial planning; no commissions or finder's fees accepted
Main office location
Norris Wealth Management, LLC
Phoenix AZ, United States
Number of offices
1
Most active in
Norris Wealth Management, LLC has reported serving >5 clients in these states in the last 12 months.
Arizona · Texas
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is not active or affiliated with:
-
Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
-
Trust company
They provide trust and estate administration services, typically for separate fees.
-
Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
-
Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
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