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RIA / WealthAdvisorCertified Financial Planner|Chartered Financial Consultantdual registered (broker-dealer)44 years in industry

JAMES FRANCIS THOMAS

Advisor at CALTON & ASSOCIATES, INC.

San Diego, CA

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Search this name across graphsid dfx:ria:f6207e09-ab96-9669-9bb5-545da80eb0bd

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 10:37 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 3
On other graphs: 0
Observed: Apr 25, 2002 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: CALTON & ASSOCIATES, INC.
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jun 1, 1982earliest registration or exam on IAPD
Years in industry: 44derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner|Chartered Financial Consultant
Exams: S63
First exam: Aug 8, 1986
First registration: Apr 25, 2002
Dual registered: yes, broker-dealer
Other names: JAMES FRANCES THOMAS|JR JAMES FRANCES THOMAS|BUDDY THOMAS
IAPD individual key: 1101127

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
CALTON & ASSOCIATES, INC.	Independent wealth	Jan 27, 2025	n/a	yes	San Diego, CA	Current employment
SUPERIOR PLANNING WEALTH MANAGEMENT & FAMILY OFFICE	Independent wealth	Sep 20, 2024	Nov 21, 2025	no	SAN DIEGO, CA	Previous registration
CARMEL CAPITAL PARTNERS, LLC	Independent wealth	Jul 25, 2022	Nov 25, 2025	no	San Diego, CA\|SAN DIEGO, CA	Previous registration
CAPITAL ANALYSTS	Bd affiliated wealth	Jun 4, 2012	Jun 3, 2015	no	LAJOLLA, CA	Previous registration
LINCOLN INVESTMENT	Independent wealth	Jun 1, 2012	Jun 3, 2015	no	LAJOLLA, CA\|WOODLAND HILLS, CA	Previous registration
SUPERIOR PLANNING WEALTH MANAGEMENT & FAMILY OFFICE	Independent wealth	Jun 7, 2004	Sep 13, 2024	no	LA JOLLA, CA	Previous registration
CINCINNATI ANALYSTS, INC	Former SEC adviser	Apr 25, 2002	Jun 1, 2012	no	LAJOLLA, CA\|CINCINNATI, OH\|LA JOLLA, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
CARMEL CAPITAL PARTNERS, LLC	SUPERIOR PLANNING WEALTH MANAGEMENT & FAMILY OFFICE	Nov 25, 2025	Sep 20, 2024	-431	Firm change after gap	RIA to RIA
SUPERIOR PLANNING WEALTH MANAGEMENT & FAMILY OFFICE	CALTON & ASSOCIATES, INC.	Nov 21, 2025	Jan 27, 2025	-298	Firm change after gap	RIA to RIA
SUPERIOR PLANNING WEALTH MANAGEMENT & FAMILY OFFICE	LINCOLN INVESTMENT	Sep 13, 2024	Jun 1, 2012	-4,487	Firm change after gap	Other
CAPITAL ANALYSTS	CARMEL CAPITAL PARTNERS, LLC	Jun 3, 2015	Jul 25, 2022	2,609	Firm change after gap	Other
LINCOLN INVESTMENT	CAPITAL ANALYSTS	Jun 3, 2015	Jun 4, 2012	-1,094	Firm change after gap	Other
CINCINNATI ANALYSTS, INC	SUPERIOR PLANNING WEALTH MANAGEMENT & FAMILY OFFICE	Jun 1, 2012	Jun 7, 2004	-2,916	Firm change after gap	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
519:162200:CA:2015-06-02	Jun 3, 2015	Jun 4, 2012	WOODLAND HILLS, CA	Firm change after gap

Relationships

Registered with (6)

→ CALTON & ASSOCIATES, INC.Registered adviserregistration: current employment
Jan 27, 2025 to presentfactForm ADV
→ CARMEL CAPITAL PARTNERS, LLCRegistered adviserregistration: previous registration
Jul 25, 2022 to Nov 25, 2025factForm ADV
→ SUPERIOR PLANNING WEALTH MANAGEMENT & FAMILY OFFICERegistered adviserregistration: previous registration
Sep 20, 2024 to Nov 21, 2025factForm ADV
→ CAPITAL ANALYSTSRegistered adviserregistration: previous registration
Jun 4, 2012 to Jun 3, 2015factForm ADV
→ LINCOLN INVESTMENTRegistered adviserregistration: previous registration
Jun 1, 2012 to Jun 3, 2015factForm ADV
→ CINCINNATI ANALYSTS, INCRegistered adviserregistration: previous registration
Apr 25, 2002 to Jun 1, 2012factForm ADV

Dated events

Occurred
Nov 25, 2025
Advisor changed firm
James Francis Thomas left Carmel Capital Partners, Llc for Superior Planning Wealth Management & Family Office (registered 2024-09-20)
Form ADVobserved 4 days ago
Occurred
Nov 21, 2025
Advisor changed firm
James Francis Thomas left Superior Planning Wealth Management & Family Office for Calton & Associates, Inc. (registered 2025-01-27)
Form ADVobserved 4 days ago
Occurred
Sep 13, 2024
Advisor changed firm
James Francis Thomas left Superior Planning Wealth Management & Family Office for Lincoln Investment (registered 2012-06-01)
Form ADVobserved 4 days ago