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Norman Kramer Investments, Inc.
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$41,386,010
Clients
36
31% 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
36
HighAverage account size
$1,149,611
About
Norman Kramer Investments, Inc. is a registered investment adviser that provides discretionary portfolio management and related advisory services, managing about $41.4 million in client assets across a limited client base. The firm works with individuals as well as pension and profit-sharing plans, trusts, estates, charitable organizations and corporations.
The firm develops client-specific investment policies through personal discussions and constructs portfolios using individual equities, ETFs, bonds, certificates of deposit and mutual funds, with allocations set according to stated objectives such as growth or income. Its investment toolkit includes long- and short-term purchases and, when appropriate for a client’s stated risk tolerance, may incorporate short sales, margin transactions and option-writing strategies for hedging or tactical purposes.
Noteworthy features include a relatively small roster of clients relative to assets under management, which the brochure describes as monitored continuously with quarterly reporting and account reviews. The firm does not vote client proxies (clients retain voting responsibility) and uses Charles Schwab’s institutional services program for custody and operational support, receiving trade desk and electronic reporting benefits.
Client services
Portfolio management
Expertise
Active portfolio management
Options & derivatives strategies
Fee options
1% annually
Account minimum: $200,000
Main office location
Norman Kramer Investments, Inc.
37 Franklin Street
Westport CT 06880, United States
Number of offices
1
Most active in
Norman Kramer Investments, Inc. has reported serving >5 clients in these states in the last 12 months.
Connecticut · New York
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:
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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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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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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
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