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CRD 121364
TAMPA, FL
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| JED E BANDES | Certified Financial Planner|Chartered Financial Consultant | TAMPA, FL | St Petersburg, FL | 24 | 45 | 2 | yes |
| MATTHEW EMIL MARONE | Certified Financial Planner | St. Petersburg, FL | TAMPA, FL | 1 | 27 | 2 | yes |
| ROBERT KARL RILEY | n/a | Clearwater, FL | TAMPA, FL | 1 | 29 | 3 | yes |
| KEITH ALAN GOLDEN | n/a | West Palm Beach, FL | TAMPA, FL | 1 | 32 | 4 | yes |
| Theresa A Dollard | n/a | TAMPA, FL | 0 | 19 | 2 | yes |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| CALTON & ASSOCIATES, INC. | Shareholder | E | yes | 10/2024 | Oct 2, 2024 | Oct 8, 2024 |
| CALTON, DEREK, JAY | VICE PRESIDENT/DIRECTOR | Na | yes | 10/2024 | Oct 2, 2024 | Oct 8, 2024 |
| CALTON, DWAYNE, KENT | PRESIDENT/DIRECTOR | Na | yes | 10/2024 | Oct 2, 2024 | Oct 8, 2024 |
| CICCATI, RANDALL, LEE | CEO/DIRECTOR | Na | yes | 10/2024 | Oct 2, 2024 | Oct 8, 2024 |
| Fussa Ocasio, Fernando | Cfo | Na | yes | 10/2024 | Oct 2, 2024 | Oct 8, 2024 |
| RAHMOUNI IDRISSI, SAAD | Cco | Na | yes | 10/2024 | Oct 2, 2024 | Oct 8, 2024 |
| RICHARDSON, PAUL, REID | Coo | Na | yes | 10/2024 | Oct 2, 2024 | Oct 8, 2024 |
| SINGH, RAMESHWAR | PRESIDENT OF ADVISORY SERVICES/DIRECTOR/SECRETARY | Na | yes | 10/2024 | Oct 2, 2024 | Oct 8, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| CALTON & ASSOCIATES, INC. | n/a | Independent wealth | $1.6B | Y | no | n/a |
| DOMINION PORTFOLIO MANAGEMENT, INC. | n/a | Independent wealth | $277M | N | yes | n/a |
| PEAKSHARES LLC | n/a | Asset manager | $110M | N | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Miami | FL | United States | 1 | yes |
| Ocala | FL | United States | 1 | yes |
| ST. PETERSBURG | FL | United States | 1 | yes |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Mar 31, 2026 | $58.4M | $58.4M | 4 | 4 | 4 | n/a | n/a |
| 2024 | Mar 31, 2025 | $57.4M | $57.4M | 7 | 4 | 3 | n/a | n/a |
| 2023 | Jan 31, 2024 | $241M | $0 | 12 | 12 | 4 | n/a | n/a |
| 2022 | Jan 12, 2023 | $219M | $0 | 10 | 10 | 5 | n/a | n/a |
| 2021 | Jan 21, 2022 | $249M | $0 | 9 | 9 | 5 | n/a | n/a |
| 2020 | Feb 10, 2021 | $1.0B | $1.0B | 9 | 9 | 6 | n/a | n/a |
| 2019 | Mar 11, 2020 | $174M | $18.3M | 9 | 9 | 6 | n/a | n/a |
| 2018 | Jan 31, 2019 | $137M | $16.6M | 7 | 7 | 6 | n/a | n/a |
| 2017 | Feb 14, 2018 | $145M | $18.1M | 7 | 7 | 4 | n/a | 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 | 0 | 0.0% | 0 | 0 | 0 | 1 | 7 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $58.4M | $57.4M | 1.7% | $219M | -35.6% | 4 | 7 | 4 | 3 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| SIMPLICITY WEALTH | 2 | Aug 8, 2025 | Aug 20, 2025 | OCALA, FL | Team lift out | RIA to RIA | 33.3% |
| THE HOLLAND GROUP, RETIREMENT WEALTH ADVISORS, LLC | 3 | May 14, 2024 | Jan 1, 2026 | CLEARWATER, FL | Team lift out | RIA to new firm | 30.0% |