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Reading the graph
Reading the graph
CRD 20999
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 |
|---|---|---|---|---|---|---|
| DOMINICK JAMES CALDERAZZO | n/a | TAMPA, FL | Tampa, FL | 23 | 32 | n/a | yes |
| JAMES THERON COX | n/a | TALLAHASSEE, FL | 22 | 30 | n/a | yes |
| JERRY NIGHTINGALE EVERWINE | n/a | VINELAND, NJ | 22 | 37 | 1 | yes |
| ELIOT SOLON ROSENBERG | Chartered Financial Consultant | TALLAHASSEE, FL | 22 | 41 | n/a | yes |
| KENNETH WAYNE ALBERT | Certified Financial Planner | TAMPA, FL | Johns Creek, GA | 22 | 31 | 2 | yes |
| JIMMY DWAYNE WHITE | n/a | JACKSON, MS | 22 | 27 | n/a | yes |
| OLIVER BRYAN WILLIAMSON | n/a | PIKEVILLE, KY | 22 | 36 | n/a | yes |
| JAI TARACHAND DOSHI | n/a | Fort Worth, TX | TAMPA, FL | 20 | 30 | 1 | yes |
| DWAYNE KENT CALTON | n/a | TAMPA, FL | 20 | 44 | n/a | yes |
| DAVID LELAND BECK | n/a | TAMPA, FL | FORT WORTH, TX | 17 | 30 | n/a | yes |
| JOHN QUIRINO CROWTHER | Chartered Financial Consultant | PAULSBORO, NJ | 17 | 46 | n/a | yes |
| GERALD BOYD GLICK | Certified Financial Planner | Clearwater, FL | TAMPA, FL | 17 | 32 | 2 | yes |
| SCOTT MATTHEW PITTMAN | n/a | BLUEFIELD, WV | TAMPA, FL | 16 | 17 | 1 | yes |
| JAMES ANTHONY PETKOSON | n/a | CLEARWATER, FL | TAMPA, FL | 16 | 35 | 2 | yes |
| TIMOTHY ALAN SHEFFIELD | n/a | ARLINGTON, TN | 15 | 39 | n/a | yes |
| JOSHUA GARRETT HANBY | n/a | Tampa, FL | Lady Lake, FL | 14 | 25 | n/a | yes |
| JOHANA HUFF | n/a | CHEROKEE, TX | Marble Falls, TX | 14 | 37 | 1 | yes |
| LESTER JACOB SACK | n/a | Austin, TX | Marble Falls, TX | 14 | 19 | n/a | yes |
| KEVIN JAMES MARSH | n/a | TAMPA, FL | Coppell, TX | 13 | 36 | 1 | yes |
| PAUL REID RICHARDSON | n/a | Temple Terrace, FL | Ocala, FL | TAMPA, FL | 13 | 42 | 6 | yes |
| WILLIAM CHARLES VOURLAS | n/a | SAN DIEGO, CA | TAMPA, FL | 13 | 18 | 4 | yes |
| ROBERT JOSEPH KOZLOWSKI | n/a | TAMPA, FL | TEMPE, AZ | 13 | 46 | n/a | yes |
| DON ROBERT GUESS | n/a | Cedar Park, TX | Marble Falls, TX | 12 | 35 | 5 | yes |
| MICHAEL JOSEPH WOODS | n/a | ESCONDIDO, CA | TAMPA, FL | 12 | 15 | n/a | yes |
| MARC A ALVIS | n/a | TALLAHASSEE, FL | 12 | 18 | 1 | yes |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| CALTON, DEREK JAY | VICE PRESIDENT - DIRECTOR | Na | yes | 12/1997 | Aug 6, 2026 | Aug 6, 2026 |
| CICCATI, RANDALL LEE | Shareholder | D | yes | 09/2012 | Aug 6, 2026 | Aug 6, 2026 |
| COLE, DAVID SCOTT | CHIEF FINANCIAL OFFICER/FINOP | Na | yes | 05/2025 | Aug 6, 2026 | Aug 6, 2026 |
| RAHMOUNI IDRISSI, SAAD | CHIEF COMPLIANCE OFFICER | Na | yes | 01/2023 | Aug 6, 2026 | Aug 6, 2026 |
| RICHARDSON, PAUL REID | CHIEF OPERATIONS OFFICER | Na | yes | 10/2020 | Aug 6, 2026 | Aug 6, 2026 |
| SINGH, RAMESHWAR | DIRECTOR / SECRETARY /PRESIDENT OF ADVISORY SERVICES | C | yes | 12/2014 | Aug 6, 2026 | Aug 6, 2026 |
| CALTON, DWAYNE KENT | PRESIDENT - DIRECTOR | Na | yes | 09/1987 | Sep 21, 2012 | Dec 19, 2024 |
| FUSSA OCASIO, FERNANDO | CHIEF FINANCIAL OFFICER/FINOP | Na | yes | 04/2022 | Sep 8, 2022 | Dec 19, 2024 |
| CICCATI, AUSTIN LOUIS | Shareholder | Na | no | 05/2014 | Aug 6, 2026 | Aug 6, 2026 |
| CICCATI, CARLY MARIE | Shareholder | Na | no | 05/2014 | Aug 6, 2026 | Aug 6, 2026 |
| THE LOUIS CICCATI AND ADELINE | SHAREHOLDER, LOUIS CICCATI AND ADELINE CARMELA CICCATI REVOCABLE TRUST | A | no | 07/2017 | Aug 6, 2026 | Aug 6, 2026 |
| CICCATI, ADELINE CARMELA | TRUSTEE OF THE LOUIS CICCATI AND ADELINE CARMELA CICCATI REVOCABLE TRUST | Na | no | 07/2017 | Dec 18, 2017 | Dec 19, 2024 |
| CICCATI, JILL MARIE | Shareholder | A | no | 09/2012 | Dec 27, 2016 | Dec 19, 2024 |
| THE LOUIS CICCATI AND ADELINE CARMELA CICCATI REVOCABLE TRUST | SHAREHOLDER, LOUIS CICCATI AND ADELINE CARMELA CICCATI, TTEE | A | no | 07/2017 | Dec 18, 2017 | Dec 19, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| DOMINION PORTFOLIO MANAGEMENT, INC. | n/a | Independent wealth | $277M | Y | yes | n/a |
| PEAKSHARES LLC | n/a | Asset manager | $110M | Y | yes | n/a |
| MUTUAL TRUST ASSET MGMT., INC. | n/a | Independent wealth | $58.4M | Y | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Tampa | FL | United States | 26 | yes |
| Folsom | CA | United States | 4 | yes |
| Boise | Id | United States | 4 | yes |
| SAN DIEGO | CA | United States | 3 | yes |
| Clearwater | FL | United States | 3 | yes |
| Pikeville | Ky | United States | 3 | yes |
| WEST COVINA | CA | United States | 2 | yes |
| LADY LAKE | FL | United States | 2 | yes |
| Lakeland | FL | United States | 2 | yes |
| Ocala | FL | United States | 2 | yes |
| NEW ULM | Mn | United States | 2 | yes |
| SIOUX FALLS | Sd | United States | 2 | yes |
| PENSACOLA BEACH | FL | United States | 1 | yes |
| Tallahassee | FL | United States | 1 | no |
| Tampa | FL | United States | 1 | yes |
| WINTER PARK | FL | United States | 1 | yes |
| Louisville | Ky | United States | 1 | yes |
| Fallston | Md | United States | 1 | yes |
| DETROIT LAKES | Mn | United States | 1 | yes |
| Hazlet | Nj | United States | 1 | yes |
| MOUNT LAUREL | Nj | United States | 1 | yes |
| Eugene | Or | United States | 1 | yes |
| Moscow | Tn | United States | 1 | yes |
| Plano | TX | United States | 1 | yes |
| Verona | Wi | United States | 1 | yes |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2024 | Dec 19, 2024 | $1.2B | $1.1B | 515 | 221 | 149 | n/a | n/a |
| 2023 | Dec 14, 2023 | $1.1B | $1.0B | 515 | 221 | 149 | n/a | n/a |
| 2022 | Dec 21, 2022 | $970M | $948M | 486 | 334 | 149 | n/a | n/a |
| 2021 | Dec 22, 2021 | $1.3B | $1.3B | 467 | 345 | 153 | n/a | n/a |
| 2020 | Dec 17, 2020 | $1.4B | $1.4B | 425 | 190 | 137 | n/a | n/a |
| 2019 | Dec 20, 2019 | $1.3B | $1.3B | 450 | 199 | 140 | n/a | n/a |
| 2018 | Dec 20, 2018 | $1.1B | $1.0B | 362 | 187 | 140 | n/a | n/a |
| 2017 | Dec 18, 2017 | $940M | $914M | 338 | 186 | 76 | n/a | n/a |
| 2016 | Dec 27, 2016 | $715M | $654M | 323 | 154 | n/a | n/a | n/a |
| 2015 | Dec 23, 2015 | $416M | $382M | 295 | 150 | n/a | n/a | n/a |
| 2014 | Dec 24, 2014 | $587M | $519M | 289 | 150 | n/a | n/a | n/a |
| 2013 | Dec 23, 2013 | $342M | $277M | 224 | 98 | n/a | n/a | n/a |
| 2012 | Dec 20, 2012 | $302M | $239M | 224 | 98 | n/a | n/a | n/a |
| 2011 | Dec 23, 2011 | $76.4M | $72.2M | n/a | n/a | n/a | 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 |
|---|---|---|---|---|---|---|---|---|
| 13 | 2 | 11 | 1.4% | 8 | 0 | 0 | 33 | 13 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2024 | $1.6B | $1.1B | 48.9% | $1.3B | 6.9% | 373 | 515 | 70 | 149 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| RMR WEALTH BUILDERS, INC. | 2 | Jan 2, 2023 | Nov 24, 2020 | SCOTTSDALE, AZ | Team lift out | Ibd to RIA | 1.8% |
| RMR WEALTH BUILDERS, INC. | 12 | Dec 31, 2022 | Oct 1, 2020 | MONTCLAIR, NJ | Team lift out | Ibd to RIA | 10.5% |
| Forefront | 2 | Mar 3, 2022 | Sep 8, 2021 | AUSTIN, TX | Team lift out | Ibd to RIA | 1.7% |
| FYRA CAPITAL MANAGEMENT | 3 | Aug 25, 2021 | Sep 3, 2021 | SAINT CHARLES, MO | Team lift out | RIA to new firm | 2.4% |
| GRANTVEST FINANCIAL GROUP LLC | 2 | Apr 12, 2021 | Apr 12, 2021 | MATAWAN, NJ | Team lift out | RIA to RIA | 1.6% |
| HARBOUR INVESTMENTS, INC. | 2 | Nov 12, 2020 | Nov 12, 2020 | ELKHORN, WI | Team lift out | RIA to RIA | 1.5% |
| CORE WEALTH ADVISORS, INC. | 2 | Mar 31, 2015 | Mar 12, 2015 | TAMPA, FL | Team lift out | Other | 2.7% |
| TCFG INVESTMENT ADVISORS, LLC | 3 | Feb 26, 2015 | Oct 9, 2015 | NEWPORT BEACH, CA | Team lift out | Other | 3.9% |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| COOPER MALONE MCCLAIN, INC. | 2 | Apr 11, 2025 | Apr 1, 2025 | WICHITA, KS | Team lift out | Other | 100.0% |
| GWN SECURITIES INC. | 2 | Mar 21, 2025 | Mar 21, 2025 | DELRAY BEACH, FL | Team lift out | Ibd to RIA | 0.5% |
| NFSG CORPORATION | 2 | Dec 3, 2019 | Dec 5, 2019 | BOCA RATON, FL | Team lift out | Ibd to RIA | 3.9% |
| CAPITAL FINANCIAL SERVICES, INC. | 2 | Jul 26, 2019 | Jul 30, 2019 | BROOKFIELD, WI | Team lift out | RIA to RIA | 13.3% |
| CAPITAL FINANCIAL SERVICES, INC. | 2 | Jul 1, 2019 | Jul 17, 2019 | MILLER, SD | Team lift out | RIA to RIA | 6.5% |
| PROVIDENCE INVESTMENT ADVISORS, LLC | 2 | Jun 30, 2019 | Jul 15, 2019 | WILMINGTON, NC | Team lift out | Other | 100.0% |
| CAPITAL FINANCIAL SERVICES, INC. | 10 | Jun 28, 2019 | Jan 9, 2026 | MINOT, ND | Team lift out | RIA to RIA | 31.3% |
| CAPITAL FINANCIAL SERVICES, INC. | 2 | May 3, 2019 | May 20, 2019 | MINOT, ND | Team lift out | RIA to RIA | 4.8% |
| AMERITAS ADVISORY SERVICES | 3 | May 16, 2017 | Apr 18, 2017 | ROSEVILLE, CA | Team lift out | Other | 2.1% |
| VSR ADVISORY SERVICES | 3 | Jul 8, 2016 | Jul 12, 2016 | WORDEN, IL | Team lift out | Other | 1.7% |
| JHS CAPITAL ADVISORS, LLC | 2 | Jun 10, 2015 | Mar 1, 2016 | TAMPA, FL | Team lift out | Other | 2.7% |
| NEWPORT COAST ASSET MANAGEMENT | 2 | Feb 17, 2015 | Feb 23, 2015 | ODESSA, FL | Team lift out | Other | 8.7% |