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
Calton & Associates, Inc.
Latest filing Aug 6, 2026
First filing on the tape Dec 23, 2011 · 59 filings
SEC status approved since Apr 7, 2009
RAUM
$1.6B
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
92%
$1.4B individuals and HNW
Advisors
140
registered through the firm on IAPD
RAUM per advisor
$11.3M
derived; firm RAUM over IAPD count
Employees
373
221 advisory (5.B.1)
Offices
70
beyond the principal office
Private funds
0
reported on Schedule D
History
59 filings and snapshots on the tape
RAUM$1.6B as of Aug 6, 2026
Dec 23, 2011$76.4M then
HNW client RAUM$646M as of Aug 6, 2026
Dec 18, 2017$314M then
State-registered IARs (5.B.3)203 as of Aug 6, 2026
Dec 23, 20110 then
Employees (5.A)373 as of Aug 6, 2026
Dec 20, 2012224 then
Private funds: no history
RAUM +49% over the last fiscal year+6.9% a year over threeIARs 130 to 203offices 149 to 70
Practice profile
derived from the filing of Aug 6, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $11.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 36derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $226,219derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 8.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.7derivedItem 5.A over advisors
- Advisors per office
- 2.0derived71 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -0.5%derived
- Compensation
- percentage of assets, hourly, fixed fees, performance-based, commissionsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
- Wrap fee program
- $1.4BreportedItem 5.I
- 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
- is a broker-dealer (6.A.1)
- is an insurance broker or agent (6.A.6)
- 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$804M51%
- High-net-worth individuals$646M41%
- Pension and profit-sharing plans$127M8.0%
- Individual clients
- 4,778reported
- HNW clients
- 278reported
- Pension plan clients
- 227reported
- Charitable clients
- n/areported
- Accounts
- 6,969reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourly, performance, commissionsreported
- Class basis
- private_client_share=0.92 fund_share=0.0 institutional_share=0.08 related_bd=false related_bank=false bd_reps=369.0derived
Advisors registered through the firm
134 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Dominick James Calderazzo | Tampa, Fl | Jul 17, 2003 | 32 y | 0 |
| James Theron Cox | Tallahassee, Fl | Nov 10, 2003 | 30 y | 0 |
| Jerry Nightingale Everwine | Vineland, Nj | Mar 12, 2004 | 37 y | 1 |
| Eliot Solon RosenbergChartered Financial Consultant | Tallahassee, Fl | Jun 8, 2004 | 41 y | 0 |
| Kenneth Wayne AlbertCertified Financial Planner | Tampa, Fl | Jul 1, 2004 | 31 y | 2 |
| Jimmy Dwayne White | Jackson, Ms | Jul 13, 2004 | 27 y | 0 |
| Oliver Bryan Williamson | Pikeville, Ky | Aug 17, 2004 | 36 y | 0 |
| Jai Tarachand Doshi | Fort Worth, Tx | Mar 14, 2006 | 30 y | 1 |
| Dwayne Kent Calton | Tampa, Fl | Jun 30, 2006 | 44 y | 0 |
| David Leland Beck | Tampa, Fl | Oct 1, 2008 | 30 y | 0 |
| John Quirino CrowtherChartered Financial Consultant | Paulsboro, Nj | Oct 8, 2008 | 46 y | 0 |
| Gerald Boyd GlickCertified Financial Planner | Clearwater, Fl | Jun 30, 2009 | 32 y | 2 |
| Scott Matthew Pittman | Bluefield, Wv | Jan 27, 2010 | 17 y | 1 |
| James Anthony Petkoson | Clearwater, Fl | Apr 7, 2010 | 35 y | 2 |
| Timothy Alan Sheffield | Arlington, Tn | Aug 9, 2011 | 39 y | 0 |
| Joshua Garrett Hanby | Tampa, Fl | Oct 28, 2011 | 25 y | 0 |
| Johana Huff | Cherokee, Tx | Jan 3, 2012 | 37 y | 1 |
| Lester Jacob Sack | Austin, Tx | Feb 29, 2012 | 19 y | 0 |
| Kevin James Marsh | Tampa, Fl | Apr 23, 2013 | 36 y | 1 |
| Paul Reid Richardson | Temple Terrace, Fl | Aug 13, 2013 | 42 y | 6 |
| William Charles Vourlas | San Diego, Ca | Aug 15, 2013 | 18 y | 4 |
| Robert Joseph Kozlowski | Tampa, Fl | Aug 16, 2013 | 46 y | 0 |
| Don Robert Guess | Cedar Park, Tx | Oct 3, 2013 | 35 y | 5 |
| Michael Joseph Woods | Escondido, Ca | Oct 3, 2013 | 15 y | 0 |
| Marc A Alvis | Tallahassee, Fl | Jan 9, 2014 | 18 y | 1 |
| Paul Lieu | Huntington Beach, Ca | Jan 14, 2014 | 31 y | 6 |
| Rameshwar Singh | Tampa, Fl | Mar 27, 2014 | 23 y | 0 |
| Leslie Jean Hale | Fort Smith, Ar | Jun 17, 2014 | 33 y | 4 |
| Frank Charles Parlato | Cypress, Ca | Sep 16, 2014 | 27 y | 3 |
| Raafat Ramzy Iskander | West Covina, Ca | Jan 16, 2015 | 32 y | 3 |
| Anthony Charles Smith | Tampa, Fl | Feb 20, 2015 | 32 y | 1 |
| Paul William Murphy | Lady Lake, Fl | Feb 23, 2015 | 20 y | 3 |
| Roger Lee Gleisner | Mesa, Az | Oct 29, 2015 | 17 y | 0 |
| Joseph Stuart Myers | Tampa, Fl | Mar 1, 2016 | 38 y | 2 |
| Kenneth Foster Haelsig | Tampa, Fl | Mar 1, 2016 | 35 y | 3 |
| Nicolas Shane ToadvineCertified Financial Planner | Lakeland, Fl | Jun 9, 2016 | 27 y | 5 |
| M F Long | Tampa, Fl | Nov 17, 2016 | 38 y | 2 |
| John Drew Robinson | Tampa, Fl | Dec 9, 2016 | 43 y | 0 |
| Dennis Darrel Dachtler | Tampa, Fl | Apr 18, 2017 | 29 y | 1 |
| Bruce Scott Gentilella | Oakland, Fl | May 15, 2017 | 30 y | 4 |
Advisor movement
2 left, 13 joined in 12 months
net +11 in 12 months0 left in 90 days8 joined in 90 daysdeparture rate 1.4% of current headcount13 left over 36 months
Left, latest
- Matthew Charles Weber to Raymond James & Associates, Inc.Mar 9, 2026 · RIA to affiliated broker-dealer or bank
- Richard Alan Rouse to Dachtler Wealth Advisors, LLCDec 17, 2025 · RIA to RIA
- Heather Dachtler Huppe to Dachtler Wealth Advisors, LLCJul 21, 2025 · RIA to a newly registered adviser
- Janeen Dulcinea Ingram to LPL Financial LLCJun 2, 2025 · RIA to affiliated broker-dealer or bank
- Fernando Fussa Ocasio to J. W. Cole Advisors, Inc.Apr 28, 2025 · RIA to affiliated broker-dealer or bank
- Philip Timothy Wieloch to LPL Financial LLCJul 30, 2024 · RIA to affiliated broker-dealer or bank
- Joseph Edward Vecchio to Shore Financial PlanningJul 24, 2024 · RIA to a state-registered adviser
- John Edward Scott to Realta Investment Advisors, IncJun 7, 2024 · RIA to affiliated broker-dealer or bank
- Shawn Conan Spellacy to Sb Advisory, LLCApr 18, 2024 · RIA to RIA
- Robert Russo to Rmr Wealth Builders, Inc.Feb 14, 2024 · RIA to RIA
- Mcfaddin Moise to Gateway Wealth Partners, LLCDec 26, 2023 · RIA to RIA
- Christopher Alex Cokinis to Lincoln InvestmentNov 10, 2023 · RIA to RIA
- Gary Stephen Mannuzza to Rmr Wealth Builders, Inc.Sep 21, 2023 · RIA to RIA
- Gulseren Mutlu to Monies Wealth LLCAug 14, 2023 · Affiliated broker-dealer or bank to a state-registered adviser
- Sydney Leigh Abraham to LPL Financial LLCAug 1, 2023 · Affiliated broker-dealer or bank to another
Joined, latest
- Peter Steven Franco from Gwn Securities Inc.Aug 28, 2026 · Affiliated broker-dealer or bank to independent RIA
- Benjamin Mitchell Brown from Charles Schwab & Co., Inc.Aug 25, 2026 · Affiliated broker-dealer or bank to independent RIA
- Kyle Klatt from MML Investors Services, LLCAug 25, 2026 · Affiliated broker-dealer or bank to independent RIA
- Ryan F Kiernan from FartherAug 20, 2026 · RIA to RIA
- Theresa A Dollard from Raymond James & Associates, Inc.Aug 4, 2026 · Affiliated broker-dealer or bank to independent RIA
- Ronald Allen Glasgow from Quincy Wells Advisors, LLCJul 27, 2026 · RIA to RIA
- Ralph Parker Chaudron from Osaic Wealth, Inc.Jul 27, 2026 · Affiliated broker-dealer or bank to independent RIA
- Nathan R Robinson from Morgan StanleyJul 1, 2026 · Wirehouse to independent RIA
- Ronald Kevin Holmes from Usallianz Securities, Inc.Feb 16, 2026 · Other
- Larry Thomas Woods from Capital Financial Services, Inc.Feb 11, 2026 · RIA to RIA
- Stephen Christopher Meikle from International Assets Investment Management, LLCJan 12, 2026 · Affiliated broker-dealer or bank to independent RIA
- Stephen Charles Schneider from Capital Financial Services, Inc.Jan 9, 2026 · RIA to RIA
- Michael Richard Brennan from Rmr Wealth Builders, Inc.Jan 2, 2026 · RIA to RIA
- Joseph William Fields from Star Wealth AdvisorsSep 15, 2025 · Other
- Jose Antonio Quinones Porrata from Modern Capital Advisors, LLCAug 28, 2025 · RIA to RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for Rmr Wealth Builders, Inc.Jan 2, 2023 · Scottsdale, Az
- 12 left for Rmr Wealth Builders, Inc.Dec 31, 2022 · Montclair, Nj
- 2 left for ForefrontMar 3, 2022 · Austin, Tx
- 3 left for Fyra Capital ManagementAug 25, 2021 · Saint Charles, Mo
- 2 left for Grantvest Financial Group LLCApr 12, 2021 · Matawan, Nj
- 2 left for Harbour Investments, Inc.Nov 12, 2020 · Elkhorn, Wi
- 2 left for Core Wealth Advisors, Inc.Mar 31, 2015 · Tampa, Fl
- 3 left for Tcfg Investment Advisors, LLCFeb 26, 2015 · Newport Beach, Ca
- 2 joined from Cooper Malone Mcclain, Inc.Apr 11, 2025 · Wichita, Ks
- 2 joined from Gwn Securities Inc.Mar 21, 2025 · Delray Beach, Fl
- 2 joined from Nfsg CorporationDec 3, 2019 · Boca Raton, Fl
- 2 joined from Capital Financial Services, Inc.Jul 26, 2019 · Brookfield, Wi
- 2 joined from Capital Financial Services, Inc.Jul 1, 2019 · Miller, Sd
- 2 joined from Providence Investment Advisors, LLCJun 30, 2019 · Wilmington, Nc
- 10 joined from Capital Financial Services, Inc.Jun 28, 2019 · Minot, Nd
- 2 joined from Capital Financial Services, Inc.May 3, 2019 · Minot, Nd
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Derek Jay Calton · Vice President - Directorcontrolsince 12/1997 · owns less than 5%
- Dwayne Kent Calton · President - Directorcontrolsince 09/1987 · owns less than 5%
- Randall Lee Ciccati · Shareholdercontrolsince 09/2012 · owns 50% to 75%
- David Scott Cole · Chief Financial Officer/Finopcontrolsince 05/2025 · owns less than 5%
- Fernando Fussa Ocasio · Chief Financial Officer/Finopcontrolsince 04/2022 · owns less than 5%
- Saad Rahmouni Idrissi · Chief Compliance Officercontrolsince 01/2023 · owns less than 5%
- Paul Reid Richardson · Chief Operations Officercontrolsince 10/2020 · owns less than 5%
- Rameshwar Singh · Director / Secretary /President Of Advisory Servicescontrolsince 12/2014 · owns 25% to 50%
- Adeline Carmela Ciccati · Trustee Of The Louis Ciccati And Adeline Carmela Ciccati Revocable Trustsince 07/2017 · owns less than 5%
- Austin Louis Ciccati · Shareholdersince 05/2014 · owns less than 5%
- Carly Marie Ciccati · Shareholdersince 05/2014 · owns less than 5%
- Jill Marie Ciccati · Shareholdersince 09/2012 · owns 5% to 10%
Entity owners
- The Louis Ciccati And Adeline · Shareholder, Louis Ciccati And Adeline Carmela Ciccati Revocable Trustdirect · owns 5% to 10%
- The Louis Ciccati And Adeline Carmela Ciccati Revocable Trust · Shareholder, Louis Ciccati And Adeline Carmela Ciccati, Tteedirect · owns 5% to 10%
Related persons
Schedule D 7.A
- Dominion Portfolio Management, Inc.investment adviseryRAUM $277M
- Mutual Trust Asset Mgmt., Inc.investment adviseryRAUM $58.4M
- Peakshares LLCinvestment adviseryRAUM $110M
Advisers that list Calton & Associates, 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 | 106 | 21 | 1 | ||
| Ocala, Fl | 7 | 0 | 0 | ||
| Marble Falls, Tx | 5 | 2 | 0 | ||
| Tallahassee, Fl | 4 | 0 | 0 | ||
| Fort Worth, Tx | 3 | 1 | 0 | ||
| Fishers, In | 3 | 3 | 0 | ||
| Clearwater, Fl | 3 | 0 | 0 | ||
| Boise, Id | 3 | 1 | 0 | ||
| Austin, Tx | 2 | 0 | 0 | ||
| Delray Beach, Fl | 2 | 0 | 0 | ||
| Fallston, Md | 2 | 0 | 0 | ||
| Folsom, Ca | 2 | 0 | 1 | ||
| Lady Lake, Fl | 2 | 0 | 0 | ||
| Lakeland, Fl | 2 | 0 | 0 | ||
| Louisville, Ky | 2 | 1 | 0 | ||
| Vineland, Nj | 2 | 1 | 0 | ||
| West Bountiful, Ut | 2 | 0 | 0 | ||
| West Covina, Ca | 2 | 0 | 0 | ||
| Wichita, Ks | 2 | 0 | 0 | ||
| Wilmington, Nc | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Tampa, FL26 employees
- Boise, ID4 employees
- Folsom, CA4 employees
- San Diego, CA3 employees
- Pikeville, KY3 employees
- Clearwater, FL3 employees
- West Covina, CA2 employees
- Ocala, FL2 employees
- Lakeland, FL2 employees
- Sioux Falls, SD2 employees
- Lady Lake, FL2 employees
- New Ulm, MN2 employees
- Eugene, OR1 employees
- Tallahassee, FL1 employees
- Pensacola Beach, FL1 employees
- Hazlet, NJ1 employees
- Winter Park, FL1 employees
- Tampa, FL1 employees
- Mount Laurel, NJ1 employees
- Moscow, TN1 employees
- Plano, TX1 employees
- Louisville, KY1 employees
- Fallston, MD1 employees
- Detroit Lakes, MN1 employees
- Verona, WI1 employees
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Aug 6, 2026COLE, DAVID SCOTT (CHIEF FINANCIAL OFFICER/FINOP) appeared on Schedule A between the filings of 2023-03-20 and 2026-08-06peers: independent wealth managers, $1B to $5B (1,360)
- control person changedChange between filings · filing Aug 6, 2026FUSSA OCASIO, FERNANDO (CHIEF FINANCIAL OFFICER/FINOP) left Schedule A between the filings of 2023-03-20 and 2026-08-06peers: independent wealth managers, $1B to $5B (1,360)
- control person changedChange between filings · filing Aug 6, 2026CALTON, DWAYNE KENT (PRESIDENT - DIRECTOR) left Schedule A between the filings of 2023-03-20 and 2026-08-06peers: independent wealth managers, $1B to $5B (1,360)
What changed
consecutive filings, newest first
- Accounts · 7,559 to 6,969Aug 28, 2025 to Dec 26, 2025
- BD registered reps · 375 to 369Aug 28, 2025 to Dec 26, 2025
- HNW clients · 206 to 278Aug 28, 2025 to Dec 26, 2025
- Individual clients · 5,725 to 4,778Aug 28, 2025 to Dec 26, 2025
- Pension plan clients · 131 to 227Aug 28, 2025 to Dec 26, 2025
- Employees · 515 to 373Aug 28, 2025 to Dec 26, 2025
- Insurance-licensed employees · 98 to 75Aug 28, 2025 to Dec 26, 2025
- Financial planning clients · 26-50 to 51-100Aug 28, 2025 to Dec 26, 2025
- State-registered IARs · 130 to 203Aug 28, 2025 to Dec 26, 2025
- Other offices · 149 to 70Aug 28, 2025 to Dec 26, 2025
- Discretionary RAUM · $1.1B to $1.6BAug 28, 2025 to Dec 26, 2025
- HNW RAUM · $393M to $646MAug 28, 2025 to Dec 26, 2025
- Individual RAUM · $794M to $804MAug 28, 2025 to Dec 26, 2025
- Non-discretionary RAUM · $86.9M to $22.9MAug 28, 2025 to Dec 26, 2025
- Pension RAUM · $28.7M to $127MAug 28, 2025 to Dec 26, 2025
- RAUM · $1.2B to $1.6BAug 28, 2025 to Dec 26, 2025
- Financial planning clients · 26-50 to 26-50Dec 19, 2024 to Jul 30, 2025
- Accounts · 6,846 to 7,559Oct 1, 2024 to Dec 19, 2024
- HNW clients · 147 to 206Oct 1, 2024 to Dec 19, 2024
- Individual clients · 5,816 to 5,725Oct 1, 2024 to Dec 19, 2024
- Pension plan clients · 162 to 131Oct 1, 2024 to Dec 19, 2024
- Discretionary RAUM · $1.0B to $1.1BOct 1, 2024 to Dec 19, 2024
- HNW RAUM · $297M to $393MOct 1, 2024 to Dec 19, 2024
- Individual RAUM · $733M to $794MOct 1, 2024 to Dec 19, 2024
- Non-discretionary RAUM · $27.2M to $86.9MOct 1, 2024 to Dec 19, 2024
- Pension RAUM · $29.0M to $28.7MOct 1, 2024 to Dec 19, 2024
- RAUM · $1.1B to $1.2BOct 1, 2024 to Dec 19, 2024
- Accounts · 6,750 to 6,846Aug 16, 2023 to Dec 14, 2023
- Advisory employees · 334 to 221Aug 16, 2023 to Dec 14, 2023
- BD registered reps · 351 to 375Aug 16, 2023 to Dec 14, 2023
- Charity clients · 0.0 to unsetAug 16, 2023 to Dec 14, 2023
- Corporate clients · 0.0 to unsetAug 16, 2023 to Dec 14, 2023
- HNW clients · 108 to 147Aug 16, 2023 to Dec 14, 2023
- Individual clients · 5,207 to 5,816Aug 16, 2023 to Dec 14, 2023
- Pension plan clients · 170 to 162Aug 16, 2023 to Dec 14, 2023
- Employees · 486 to 515Aug 16, 2023 to Dec 14, 2023
- State-registered IARs · 224 to 130Aug 16, 2023 to Dec 14, 2023
- Discretionary RAUM · $948M to $1.0BAug 16, 2023 to Dec 14, 2023
- HNW RAUM · $222M to $297MAug 16, 2023 to Dec 14, 2023
- Individual RAUM · $717M to $733MAug 16, 2023 to Dec 14, 2023
Signals
60 dated events
- Matthew Charles Weber left Calton & Associates, Inc. for Raymond James & Associates, Inc. (registered 2026-03-31)Mar 9, 2026 · Advisor changed firm · fact
- Joseph Lepore no longer registered at Calton & Associates, Inc.; no later IA registration on IAPDFeb 2, 2026 · Advisor departure · fact
- Calton & Associates, Inc. reported 70 offices beyond its principal office, down from 149 (2025-08-28 to 2025-12-26)Dec 26, 2025 · Office count change · derived
- Calton & Associates, Inc. reported 203 state-registered advisory representatives, up from 130 (2025-08-28 to 2025-12-26)Dec 26, 2025 · Advisor headcount change · derived
- Calton & Associates, Inc. reported RAUM $1.6B, up 30% from $1.2B (2025-08-28 to 2025-12-26)Dec 26, 2025 · RAUM change · derived
- Richard Alan Rouse left Calton & Associates, Inc. for Dachtler Wealth Advisors, Llc (registered 2026-01-08)Dec 17, 2025 · Advisor changed firm · fact
- Heather Dachtler Huppe left Calton & Associates, Inc. for Dachtler Wealth Advisors, Llc (registered 2025-07-22)Jul 21, 2025 · Advisor changed firm · fact
- Janeen Dulcinea Ingram left Calton & Associates, Inc. for Lpl Financial Llc (registered 2025-05-06)Jun 2, 2025 · Advisor changed firm · fact
- Fernando Fussa Ocasio left Calton & Associates, Inc. for J. W. Cole Advisors, Inc. (registered 2025-05-13)Apr 28, 2025 · Advisor changed firm · fact
- 2 advisors left Cooper Malone Mcclain, Inc. (Wichita, KS) for Calton & Associates, Inc. within 3 daysApr 11, 2025 · Team lift-out · derived
- 2 advisors left Gwn Securities Inc. (Palm Beach Gardens, FL) for Calton & Associates, Inc. on the same dayMar 21, 2025 · Team lift-out · derived
- Philip Timothy Wieloch left Calton & Associates, Inc. for Lpl Financial Llc (registered 2024-07-30)Jul 30, 2024 · Advisor changed firm · fact
- Joseph Edward Vecchio left Calton & Associates, Inc. for Shore Financial Planning (registered 2026-01-01)Jul 24, 2024 · Advisor changed firm · fact
- John Edward Scott left Calton & Associates, Inc. for Realta Investment Advisors, Inc (registered 2025-01-01)Jun 7, 2024 · Advisor changed firm · fact
- Shawn Conan Spellacy left Calton & Associates, Inc. for Sb Advisory, Llc (registered 2024-07-02)Apr 18, 2024 · Advisor changed firm · fact
- Robert Russo left Calton & Associates, Inc. for Rmr Wealth Builders, Inc. (registered 2020-11-18)Feb 14, 2024 · Advisor changed firm · fact
- Mcfaddin Moise left Calton & Associates, Inc. for Gateway Wealth Partners, Llc (registered 2026-01-01)Dec 26, 2023 · Advisor changed firm · fact
- Calton & Associates, Inc. reported 130 state-registered advisory representatives, down from 224 (2023-08-16 to 2023-12-14)Dec 14, 2023 · Advisor headcount change · derived
- Christopher Alex Cokinis left Calton & Associates, Inc. for Lincoln Investment (registered 2025-11-12)Nov 10, 2023 · Advisor changed firm · fact
- Gary Stephen Mannuzza left Calton & Associates, Inc. for Rmr Wealth Builders, Inc. (registered 2022-02-18)Sep 21, 2023 · Advisor changed firm · fact
- Gulseren Mutlu left Calton & Associates, Inc. for Monies Wealth Llc (registered 2023-10-04)Aug 14, 2023 · Advisor changed firm · fact
- Sydney Leigh Abraham left Calton & Associates, Inc. for Lpl Financial Llc (registered 2023-08-01)Aug 1, 2023 · Advisor changed firm · fact
- Kyle Alan Howell left Calton & Associates, Inc. for Base Wealth Management (registered 2023-07-11)Jul 8, 2023 · Advisor changed firm · fact
- Tim Evan Schaffer left Calton & Associates, Inc. for Rmr Wealth Builders, Inc. (registered 2020-11-30)May 31, 2023 · Advisor changed firm · fact
- James Patrick Barrett left Calton & Associates, Inc. for Rmr Wealth Builders, Inc. (registered 2014-12-03)May 3, 2023 · Advisor changed firm · fact
- Saad Rahmouni Idrissi (Chief Compliance Officer) appeared on Schedule A of Calton & Associates, Inc.Mar 20, 2023 · Control person joined · fact
- Christopher A Cokinis (Chief Compliance Officer) no longer on Schedule A of Calton & Associates, Inc. (listed 2022-12-21, absent 2023-03-20)Mar 20, 2023 · Control person left · inference
- Chad Jarrett Rixse left Calton & Associates, Inc. for Forefront (registered 2021-09-07)Jan 23, 2023 · Advisor changed firm · fact
- Alyssa T Cortelyou left Calton & Associates, Inc. for Rmr Wealth Builders, Inc. (registered 2019-07-29)Jan 2, 2023 · Advisor changed firm · fact
- Dominic Aceto left Calton & Associates, Inc. for Rmr Wealth Builders, Inc. (registered 2020-08-13)Jan 2, 2023 · Advisor changed firm · fact
Across DFX
shared identifiers only, never a name match
- Calton & Associates, Inc. · Private Equityshared crd · intermediary
- Calton & Associates, Inc. · Venture Capitalshared crd · org
How to reach
public business contact points only, each with its source
- Business phone
- 800-942-0262reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 813-264-0440reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- CALTON.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 813-264-0440reportedpublic record, Form ADV, Aug 6, 2026
- Contact form
- calton.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- calton.com/about-us/management-teamreportedpublished by the firm, firm site, Sep 15, 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
- $11.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026
Across the graphs
Calton & Associates, Inc. is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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