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.
Advisor moves
Arrivals at Calton & Associates, Inc.
A move is two dates on IAPD: the day a person’s registration through one firm ended and the day a registration through another began. The type reads the class of each firm. This is the movement tape the mobility research is validated against; it says what happened, never why, and never who is about to.
| Advisor | From | To | Type | Left | Registered |
|---|---|---|---|---|---|
| Benjamin Mitchell Brown | Charles Schwab & Co., Inc. national BD | Calton & Associates, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 3, 2026 | Aug 25, 2026 |
| Kyle Klatt | MML Investors Services, LLC BD affiliated | Calton & Associates, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 24, 2026 | Aug 25, 2026 |
| Peter Steven Franco | Gwn Securities Inc. BD affiliated | Calton & Associates, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 21, 2026 | Aug 28, 2026 |
| Ralph Parker Chaudron | Osaic Wealth, Inc. BD affiliated | Calton & Associates, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 28, 2026 | Jul 27, 2026 |
| Theresa A Dollard | Raymond James & Associates, Inc. national BD | Calton & Associates, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 22, 2026 | Aug 4, 2026 |
| Ronald Allen Glasgow | Quincy Wells Advisors, LLC independent RIA | Calton & Associates, Inc. independent RIA | RIA to RIA | Jul 15, 2026 | Jul 27, 2026 |
| James Francis Thomas | Superior Planning Wealth Management & Family Office independent RIA | Calton & Associates, Inc. independent RIA | RIA to RIA | Nov 21, 2025 | Jan 27, 2025 |
| Ryan F Kiernan | Farther independent RIA | Calton & Associates, Inc. independent RIA | RIA to RIA | Oct 3, 2025 | Aug 20, 2026 (321 d) |
| Joseph William Fields | Star Wealth Advisors no RAUM | Calton & Associates, Inc. independent RIA | Other | Sep 5, 2025 | Sep 15, 2025 |
| Jose Antonio Quinones Porrata | Modern Capital Advisors, LLC independent RIA | Calton & Associates, Inc. independent RIA | RIA to RIA | Aug 27, 2025 | Aug 28, 2025 |
| Steven Marc Heinowitz | Herold Advisors, Inc. independent RIA | Calton & Associates, Inc. independent RIA | RIA to RIA | Aug 12, 2025 | Jul 15, 2025 |
| Braden Doherty | Florida Financial Advisors, LLC BD affiliated | Calton & Associates, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | May 2, 2025 | May 21, 2025 |
| Michael David Draut | Cooper Malone Mcclain, Inc. unclassified | Calton & Associates, Inc. independent RIA | Other | Apr 14, 2025 | Mar 31, 2025 |
| Steven Arnold Heiman | Cooper Malone Mcclain, Inc. unclassified | Calton & Associates, Inc. independent RIA | Other | Apr 11, 2025 | Apr 1, 2025 |
| Lynn Stebbins | Gwn Securities Inc. BD affiliated | Calton & Associates, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 21, 2025 | Mar 21, 2025 |
| Austin John Schrock | Gwn Securities Inc. BD affiliated | Calton & Associates, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 21, 2025 | Mar 21, 2025 |
| Roman Inochovsky | Hornor, Townsend & Kent, LLC BD affiliated | Calton & Associates, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 18, 2024 | Jan 2, 2025 |
| Timothy Howard Owings | Cetera Investment Advisers LLC BD affiliated | Calton & Associates, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 17, 2024 | Nov 6, 2024 |
| William Austin Allen | LPL Financial LLC BD affiliated | Calton & Associates, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 29, 2024 | Aug 26, 2024 |
| Nathan R Robinson | Morgan Stanley wirehouse | Calton & Associates, Inc. independent RIA | Wirehouse to independent RIA | Aug 13, 2024 | Jul 1, 2026 (687 d) |
| Jack Donald Lynch | Florida Financial Advisors, LLC BD affiliated | Calton & Associates, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | May 12, 2024 | May 9, 2024 |
| Michael Richard Brennan | Rmr Wealth Builders, Inc. independent RIA | Calton & Associates, Inc. independent RIA | RIA to RIA | Apr 26, 2024 | Jan 2, 2026 (616 d) |
| Donald Eugene Wilson | MML Investors Services, LLC BD affiliated | Calton & Associates, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 17, 2024 | Jan 22, 2024 |
| Richard Lynn Havard | Gqo Investment Advisors, Inc. state registered | Calton & Associates, Inc. independent RIA | Other | Oct 24, 2023 | Oct 25, 2023 |
| Joseph Michael Waters | Cetera Investment Advisers LLC BD affiliated | Calton & Associates, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 11, 2023 | Sep 14, 2023 |
| Thomas Lee Payne | Tri-Star Advisors, Inc. independent RIA | Calton & Associates, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Mar 16, 2023 | Dec 8, 2022 |
| Gulseren Mutlu | Forefront independent RIA | Calton & Associates, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Jan 3, 2023 | Dec 22, 2022 |
| Saad Rahmouni Idrissi | Raymond James Financial Services Advisors, Inc BD affiliated | Calton & Associates, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 31, 2022 | Jan 4, 2023 |
| Fernando Fussa Ocasio | Independent Financial Partners BD affiliated | Calton & Associates, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 18, 2022 | Apr 19, 2022 |
| Archester L Neil | Sagepoint Financial, Inc. BD affiliated | Calton & Associates, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 3, 2021 | Apr 21, 2022 (139 d) |
| Gary Stephen Mannuzza | Avantax Advisory Services BD affiliated | Calton & Associates, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 26, 2021 | Oct 29, 2021 |
| Christopher Alex Cokinis | Ameriprise Financial Services, LLC national BD | Calton & Associates, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | May 6, 2021 | May 11, 2021 |
| Renee Halsch | RBC Capital Markets, LLC national BD | Calton & Associates, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 19, 2021 | Feb 24, 2021 (36 d) |
| Amy Lynn Colton | Independent Financial Partners BD affiliated | Calton & Associates, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | May 18, 2020 | May 18, 2020 |
| Chad Jarrett Rixse | Independent Financial Partners BD affiliated | Calton & Associates, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 14, 2020 | Apr 14, 2020 |
| Kevin Eugene Moore | LPL Financial LLC BD affiliated | Calton & Associates, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 23, 2020 | Apr 13, 2020 |
| Eric J. Negron | Independent Financial Partners BD affiliated | Calton & Associates, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 14, 2020 | May 13, 2020 (89 d) |
| Todd Stephen Benschneider | Paulson Investment Company, LLC other | Calton & Associates, Inc. independent RIA | Other | Jan 3, 2020 | Jan 13, 2020 |
| Charles Catapano | Nfsg Corporation BD affiliated | Calton & Associates, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 3, 2019 | Dec 5, 2019 |
| James Rice | Nfsg Corporation BD affiliated | Calton & Associates, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 3, 2019 | Dec 5, 2019 |
| David Mark Sharp | LPL Financial LLC BD affiliated | Calton & Associates, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 30, 2019 | Oct 14, 2019 |
| Michael Alvin Strahm | E*Trade Capital Management, LLC independent RIA | Calton & Associates, Inc. independent RIA | RIA to RIA | Oct 29, 2019 | Aug 3, 2021 (644 d) |
| Mary Elizabeth Mcalpine | Avantax Advisory Services BD affiliated | Calton & Associates, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 18, 2019 | Oct 15, 2019 |
| Christopher Scott Hacker | Titan Retirement Advisors LLC independent RIA | Calton & Associates, Inc. other | Other | Oct 9, 2019 | May 18, 2015 |
| Scott Emerson Hendrix | Spc BD affiliated | Calton & Associates, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 9, 2019 | Oct 9, 2019 |
| Reed Norman Lengel | Sb Advisory, LLC BD affiliated | Calton & Associates, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 8, 2019 | Oct 15, 2019 |
| Wesley Scott Wilt | Arbor Point Advisors BD affiliated | Calton & Associates, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 15, 2019 | Aug 16, 2019 |
| Chad Thuner | Capital Financial Services, Inc. independent RIA | Calton & Associates, Inc. independent RIA | RIA to RIA | Aug 13, 2019 | Aug 19, 2019 |
| Bart James Bohrer | Capital Financial Services, Inc. independent RIA | Calton & Associates, Inc. independent RIA | RIA to RIA | Aug 2, 2019 | Aug 19, 2019 |
| Ronald Allen Kerher | Capital Financial Services, Inc. independent RIA | Calton & Associates, Inc. independent RIA | RIA to RIA | Jul 31, 2019 | Aug 7, 2019 |
| John Jay John | Capital Financial Services, Inc. independent RIA | Calton & Associates, Inc. independent RIA | RIA to RIA | Jul 31, 2019 | May 16, 2019 |
| Thomas Jefferson Rouse | Concourse Financial Group Advisors BD affiliated | Calton & Associates, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 31, 2019 | Jul 29, 2019 |
| David Walter Hinson | Capital Financial Services, Inc. independent RIA | Calton & Associates, Inc. independent RIA | RIA to RIA | Jul 31, 2019 | Jan 2, 2025 (1982 d) |
| Shayne Lawrence Fickling | Capital Financial Services, Inc. independent RIA | Calton & Associates, Inc. independent RIA | RIA to RIA | Jul 30, 2019 | Jul 30, 2019 |
| Larry Thomas Woods | Capital Financial Services, Inc. independent RIA | Calton & Associates, Inc. independent RIA | RIA to RIA | Jul 29, 2019 | Feb 11, 2026 (2389 d) |
| Kirk Leslie Domke | Capital Financial Services, Inc. independent RIA | Calton & Associates, Inc. independent RIA | RIA to RIA | Jul 26, 2019 | Jul 29, 2019 |
| Robert Lawrence Dwonch | Capital Financial Services, Inc. independent RIA | Calton & Associates, Inc. independent RIA | RIA to RIA | Jul 25, 2019 | Jul 25, 2019 |
| Michael James Reynolds | Capital Financial Services, Inc. independent RIA | Calton & Associates, Inc. independent RIA | RIA to RIA | Jul 24, 2019 | Jul 24, 2019 |
| James Melvin Mershon | Capital Financial Services, Inc. independent RIA | Calton & Associates, Inc. independent RIA | RIA to RIA | Jul 15, 2019 | Jul 15, 2019 |
| Christopher Raymond Peitz | Capital Financial Services, Inc. independent RIA | Calton & Associates, Inc. independent RIA | RIA to RIA | Jul 10, 2019 | Jul 15, 2019 |
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197 moves match.