DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Dominion Portfolio Management, Inc.
Latest filing Aug 6, 2026
First filing on the tape Mar 29, 2012 · 77 filings
SEC status approved since May 13, 2019
RAUM
$277M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$277M individuals and HNW
Advisors
16
registered through the firm on IAPD
RAUM per advisor
$17.3M
derived; firm RAUM over IAPD count
Employees
18
18 advisory (5.B.1)
Offices
13
beyond the principal office
Private funds
0
reported on Schedule D
History
77 filings and snapshots on the tape
RAUM$277M as of Aug 6, 2026
Mar 29, 2012$113M then
HNW client RAUM$89.6M as of Aug 6, 2026
Feb 24, 2020$25.2M then
State-registered IARs (5.B.3)18 as of Aug 6, 2026
Mar 26, 201321 then
Employees (5.A)18 as of Aug 6, 2026
Mar 26, 201325 then
Private funds: no history
RAUM +6.1% over the last fiscal year+14% a year over threeIARs 20 to 18offices 14 to 13
Practice profile
derived from the filing of Aug 6, 2026; every figure names its basis
Archetypes, each a printed rule
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RAUM per advisor
- $15.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 43derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.4MderivedHNW RAUM over HNW clients
- Average account
- $354,380derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.3derived14 offices incl. principal (1.F.5)
- RAUM growth, one year
- +6.1%derivedbetween the last two annual amendments
- Advisor growth, one year
- -10%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +27%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$187M68%
- High-net-worth individuals$89.6M32%
- Individual clients
- 756reported
- HNW clients
- 26reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 782reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=18.0derived
Advisors registered through the firm
18 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Thomas Stanley BristerCertified Financial Planner | Tampa, Fl | Jan 17, 2006 | 43 y | 1 |
| Joyce Lynell Briskin | Tampa, Fl | Feb 6, 2006 | 46 y | 0 |
| John Ernest Boyd | Tampa, Fl | May 31, 2011 | 41 y | 0 |
| Randall Warren Smith | Tampa, Fl | Jun 2, 2011 | 41 y | 0 |
| Joy Elizabeth Lawrence | Tampa, Fl | Apr 4, 2013 | 15 y | 0 |
| William Dale Hester | Canton, Tx | Feb 23, 2017 | 39 y | 3 |
| Drew Eldred Nixon | Carthage, Tx | Jun 23, 2017 | 41 y | 3 |
| James Edward Hughes | Tampa, Fl | Jun 26, 2017 | 29 y | 3 |
| Daryl Anthony Arnett | Fishers, In | Dec 14, 2017 | 24 y | 5 |
| Reynaldo Batista | Tampa, Fl | Feb 1, 2018 | 12 y | 1 |
| Bryan Clemmons | Tampa, Fl | Apr 3, 2018 | 12 y | 1 |
| Robert Martin Werr | Tampa, Fl | Jun 10, 2019 | 33 y | 1 |
| Stephanie Diane Acosta | Tampa, Fl | Sep 11, 2020 | 16 y | 0 |
| Joseph Marino St George | Kansas City, Mo | Nov 17, 2020 | 15 y | 1 |
| Charles Edward Maraggia | Carthage, Tx | Sep 2, 2021 | 13 y | 0 |
| Lauren Hester Jason | Canton, Tx | Feb 15, 2022 | 13 y | 3 |
| Balint Barnabas Gal | Fishers, In | Jun 30, 2026 | 10 y | 0 |
| Anthony Dayne Arnett | Fishers, In | Jun 30, 2026 | 12 y | 0 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months1 left in 90 days0 joined in 90 daysdeparture rate 6.3% of current headcount2 left over 36 months
Left, latest
- Doug Scott Graumann to Chelsea Advisory Services, IncSep 10, 2026 · RIA to RIA
- Billy Wayne Clements to Financial Security Services Group, Inc.Dec 31, 2023 · RIA to a state-registered adviser
- Phillip Deere Bryant to Stonebridge Investment Advisors, LLCJun 30, 2021 · Other
- Kimberly Ann Melton to Stonebridge Investment Advisors, LLCJun 30, 2021 · Other
- Robert Addison Caldwell to Stonebridge Investment Advisors, LLCJun 30, 2021 · Other
- Richard Lynn Havard to Gqo Investment Advisors, Inc.Apr 1, 2020 · RIA to a state-registered adviser
- Denice Rene Land to Cambridge Investment Research Advisors, Inc.Jul 24, 2019 · RIA to affiliated broker-dealer or bank
- Joe Carroll Rust to Davidson Capital Management, IncJul 3, 2017 · Other
- Kathy Lynne Colby to USA Financial Securities LLCFeb 29, 2016 · Other
- Frederick Michael Hanish to H.I.P. Wealth Advisors, LLCJul 7, 2014 · Other
Joined, latest
- Billy Wayne Clements from Titan SecuritiesApr 12, 2023 · Other
- Joseph Marino St George from Advice And Planning ServicesNov 17, 2020 · Affiliated broker-dealer or bank to independent RIA
- Robert Martin Werr from Esi Financial AdvisorsJun 10, 2019 · Affiliated broker-dealer or bank to independent RIA
- Bryan Clemmons from Edward JonesApr 3, 2018 · Other
- Reynaldo Batista from Edward JonesFeb 1, 2018 · Other
- Doug Scott Graumann from Kms Financial Services, IncJan 25, 2018 · Other
- Daryl Anthony Arnett from Sb Advisory, LLCDec 14, 2017 · Other
- Richard Lynn Havard from Invest Financial CorporationDec 1, 2017 · Other
- James Edward Hughes from Vsr Advisory ServicesJun 26, 2017 · Other
- Drew Eldred Nixon from Summit Financial Group IncJun 23, 2017 · Other
- Denice Rene Land from Hornor, Townsend & Kent, LLCMar 21, 2017 · Other
- Lauren Hester Jason from Summit Financial Group IncFeb 23, 2017 · Other
- William Dale Hester from Summit Financial Group IncFeb 23, 2017 · Other
- Kimberly Ann Melton from Invest Financial CorporationAug 20, 2012 · Other
- Kathy Lynne Colby from Financial Independents, Inc.Jan 13, 2011 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for Stonebridge Investment Advisors, LLCJun 30, 2021 · Jackson, Tn
- 2 joined from Summit Financial Group IncMar 6, 2017 · Canton, Tx
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Jay Derek Calton · Vice President/Directorcontrolsince 07/2023 · owns less than 5%
- Kent Dwayne Calton · President/Directorcontrolsince 07/2023 · owns less than 5%
- Lee Randall Ciccati · Ceo/Directorcontrolsince 07/2023 · owns less than 5%
- Fernando Fussa Ocasio · Chief Financial Officer/Finopcontrolsince 07/2023 · owns less than 5%
- Saad Rahmouni Idrissi · Chief Compliance Officercontrolsince 07/2023 · owns less than 5%
- Reid Paul Richardson · Chief Operating Officercontrolsince 07/2023 · owns less than 5%
- Rameshwar Singh · Director / Secretary /President Of Advisory Servicescontrolsince 07/2023 · owns less than 5%
Entity owners
- Calton & Associates, Inc. · Shareholderdirect · owns 75% or more
Related persons
Schedule D 7.A
- Calton & Associates, Inc.broker-dealerinvestment adviseryRAUM $1.6B
- Peakshares LLCinvestment advisernRAUM $110M
Advisers that list Dominion Portfolio Management, Inc. as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Tampa, Fl · principal | 16 | 2 | 1 | ||
| Fishers, In | 3 | 2 | 0 | ||
| Canton, Tx | 2 | 0 | 0 | ||
| Carthage, Tx | 2 | 0 | 0 | ||
| Jasper, Tx | 2 | 0 | 0 | ||
| Amarillo, Tx | 1 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 2 employees
- , 1 employees
- Houston, TX1 employees
- Canton, TX1 employees
- Carthage, TX1 employees
- Jasper, TX1 employees
- , 1 employees
- Wenatchee, WA1 employees
- , 1 employees
- Athens, TX1 employees
- , 1 employees
- , 1 employees
- Kansas City, MO1 employees
- Amarillo, TX1 employees
- Athens, TX1 employees
- Kansas City, MO1 employees
What changed
consecutive filings, newest first
- HQ city · MARBLE FALLS to TAMPAJun 2, 2026 to Jul 17, 2026
- HQ state · TX to FLJun 2, 2026 to Jul 17, 2026
- Accounts · 616 to 782Jan 2, 2026 to Mar 31, 2026
- Advisory employees · 20 to 18Jan 2, 2026 to Mar 31, 2026
- BD registered reps · 20 to 18Jan 2, 2026 to Mar 31, 2026
- HNW clients · 62 to 26Jan 2, 2026 to Mar 31, 2026
- Individual clients · 554 to 756Jan 2, 2026 to Mar 31, 2026
- Employees · 20 to 18Jan 2, 2026 to Mar 31, 2026
- State-registered IARs · 20 to 18Jan 2, 2026 to Mar 31, 2026
- Other offices · 14 to 13Jan 2, 2026 to Mar 31, 2026
- Discretionary RAUM · $261M to $277MJan 2, 2026 to Mar 31, 2026
- HNW RAUM · $123M to $89.6MJan 2, 2026 to Mar 31, 2026
- Individual RAUM · $139M to $187MJan 2, 2026 to Mar 31, 2026
- RAUM · $261M to $277MJan 2, 2026 to Mar 31, 2026
- Financial planning clients · 0 to 0Mar 31, 2025 to May 14, 2025
- Accounts · 950 to 616Mar 20, 2024 to Mar 31, 2025
- Advisory employees · 21 to 20Mar 20, 2024 to Mar 31, 2025
- BD registered reps · 21 to 20Mar 20, 2024 to Mar 31, 2025
- HNW clients · 19 to 62Mar 20, 2024 to Mar 31, 2025
- Individual clients · 931 to 554Mar 20, 2024 to Mar 31, 2025
- Employees · 21 to 20Mar 20, 2024 to Mar 31, 2025
- State-registered IARs · 21 to 20Mar 20, 2024 to Mar 31, 2025
- Other offices · 16 to 14Mar 20, 2024 to Mar 31, 2025
- Discretionary RAUM · $152M to $261MMar 20, 2024 to Mar 31, 2025
- HNW RAUM · $31.9M to $123MMar 20, 2024 to Mar 31, 2025
- Individual RAUM · $121M to $139MMar 20, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $1.5M to $0Mar 20, 2024 to Mar 31, 2025
- RAUM · $153M to $261MMar 20, 2024 to Mar 31, 2025
- Accounts · 922 to 950Aug 16, 2023 to Mar 20, 2024
- HNW clients · 27 to 19Aug 16, 2023 to Mar 20, 2024
- Individual clients · 895 to 931Aug 16, 2023 to Mar 20, 2024
- Discretionary RAUM · $188M to $152MAug 16, 2023 to Mar 20, 2024
- HNW RAUM · $57.6M to $31.9MAug 16, 2023 to Mar 20, 2024
- Individual RAUM · $131M to $121MAug 16, 2023 to Mar 20, 2024
- Non-discretionary RAUM · $0 to $1.5MAug 16, 2023 to Mar 20, 2024
- RAUM · $188M to $153MAug 16, 2023 to Mar 20, 2024
- Related insurance company · false to trueAug 16, 2023 to Mar 20, 2024
- HQ city · HORSESHOE BAY to MARBLE FALLSMar 16, 2023 to Aug 16, 2023
- Other offices · 14 to 16Mar 16, 2023 to Aug 16, 2023
- Related insurance company · true to falseMar 16, 2023 to Aug 16, 2023
Signals
13 dated events
- Doug Scott Graumann left Dominion Portfolio Management, Inc. for Chelsea Advisory Services, Inc (registered 2026-08-27)Sep 10, 2026 · Advisor changed firm · fact
- Dominion Portfolio Management, Inc. reported RAUM $261.3M, up 71% from $153.0M (2024-03-20 to 2025-03-31)Mar 31, 2025 · RAUM change · derived
- Billy Wayne Clements left Dominion Portfolio Management, Inc. for Financial Security Services Group, Inc. (registered 2024-05-15)Dec 31, 2023 · Advisor changed firm · fact
- Lee Randall Ciccati (Ceo/Director) appeared on Schedule A of Dominion Portfolio Management, Inc.Aug 16, 2023 · Control person joined · fact
- Kent Dwayne Calton (President/Director) appeared on Schedule A of Dominion Portfolio Management, Inc.Aug 16, 2023 · Control person joined · fact
- Jay Derek Calton (Vice President/Director) appeared on Schedule A of Dominion Portfolio Management, Inc.Aug 16, 2023 · Control person joined · fact
- Fernando Fussa Ocasio (Chief Financial Officer/Finop) appeared on Schedule A of Dominion Portfolio Management, Inc.Aug 16, 2023 · Control person joined · fact
- Saad Rahmouni Idrissi (Chief Compliance Officer) appeared on Schedule A of Dominion Portfolio Management, Inc.Aug 16, 2023 · Control person joined · fact
- Rameshwar Singh (Director / Secretary /President Of Advisory Services) appeared on Schedule A of Dominion Portfolio Management, Inc.Aug 16, 2023 · Control person joined · fact
- Reid Paul Richardson (Chief Operating Officer) appeared on Schedule A of Dominion Portfolio Management, Inc.Aug 16, 2023 · Control person joined · fact
- Carlton Rix Smith (President & Director) no longer on Schedule A of Dominion Portfolio Management, Inc. (listed 2023-03-16, absent 2023-08-16)Aug 16, 2023 · Control person left · inference
- Dominion Portfolio Management, Inc. reported 28 state-registered advisory representatives, up from 18 (2015-03-31 to 2019-04-12)Apr 12, 2019 · Advisor headcount change · derived
- Dominion Portfolio Management, Inc. filed its initial SEC registration (Form ADV)Apr 12, 2019 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Principal office phone
- 813-264-0440reportedpublic record, Form ADV, Aug 6, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $17.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026