Dana R. Norman
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
The firm provides discretionary, individualized portfolio management and retirement-plan services to individuals (including high‑net‑worth clients), trusts, estates, charitable organizations and business entities. It develops client-specific investment policies through personal discussions and gathers information on goals, time horizon, risk tolerance and liquidity needs to guide ongoing account supervision.
The firm’s investment process uses a mix of fundamental analysis, mutual fund/ETF analysis and technical/cyclical methods, and it implements both long‑ and short‑term purchase strategies across exchange‑listed securities, ETFs and no‑load mutual funds. Portfolio management is generally discretionary and tailored to client objectives, with regular monitoring and periodic reviews tied to client circumstances and market events.
A distinctive feature is the firm’s affiliation with an accounting practice and the adviser’s CPA background; the brochure discloses that the adviser may spend a material portion of time on non‑advisory accounting work and that clients may be referred between the two practices without referral fees. The firm describes policies to address these potential conflicts (including written disclosures, approval and monitoring of outside activities and periodic account reviews) and also offers ERISA 3(21)/3(38) retirement‑plan fiduciary services on a limited basis.
Client services
Expertise
Fee options
0.75% - 1.00% of assets under management
Account minimum: $100,000 (may be waived at discretion of CCO)
Main office
452 Wilbur Avenue
Swansea MA 02777
Advisors at this office
2
Most active in
Massachusetts
Also doing business as
Dana R. Norman · Norman, Dana R
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is active or affiliated with:
Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
Is not active or affiliated with:
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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.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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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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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
Advisors at this firm
Lisa G
Series 65
Swansea, MA
Dana R. Norman
Lisa Graham is a financial advisor at Dana R. Norman with one year of industry experience. She holds a Series 65 designation and has been a shareholder at Norman, Graham, & Digangi PC, a CPA firm, since 2004, where she performs tax and financial statement preparation, bookkeeping, and administrative duties. Dana R. Norman provides discretionary, individualized portfolio management and retirement-plan services to a range of clients, including individuals, trusts, estates, charitable organizations, and business entities. The firm’s investment approach incorporates fundamental, mutual fund/ETF, and technical analysis, with portfolio management tailored to client objectives and regular reviews aligned with client circumstances and market conditions.
Dana N
Series 63, Series 65
Swansea, MA
Dana R. Norman
Dana Norman is a financial advisor with Dana R. Norman, holding Series 63 and Series 65 licenses and bringing 29 years of industry experience. She previously owned and continues to work part-time as a CPA at an accounting firm she founded, Norman, Graham & DiGangi. Her firm provides discretionary, individualized portfolio management and retirement-plan services to individuals, trusts, estates, charitable organizations, and business entities. The firm’s investment approach combines fundamental, mutual fund/ETF, and technical/cyclical analysis to develop client-specific policies, with portfolio management tailored to clients’ objectives and ongoing review based on market events and client circumstances.
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