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CALTON & ASSOCIATES, INC.
TAMPA, FL
813-264-0440
SEC #801-70036Total AUM
$1.6B
Employees
373Clients
5,283Firm overview
Client Breakdown by AUM
AUM previous 5 years
Smooth / Detailed
Business
Principal Address
2701 N. ROCKY POINT DRIVE
SUITE 1000
TAMPA
FL 33607
United States
SUITE 1000
TAMPA
FL 33607
United States
Operating Hours
9:00AM TO 5:00PM
Monday - Friday
Monday - Friday
Phone
813-264-0440
Other Offices
70
Financials
Total AUM
$1.6B
Accounts
6,969Discretionary
$1.6B
Accounts
6,839Non-Discretionary
$22.9M
Accounts
130
Clients
Individual Clients
4,778AUM
$803.7M
HNW Individual Clients
278AUM
$646.2M
Pension/Profit Sharing Plan Clients
227AUM
$126.6M
Services
Services Offered
Advisor / Fund Manager SelectionFinancial PlanningIndividual Portfolio ManagementInstitutional Portfolio ManagementPension Consulting
Compensation Types
Charges CommissionCharges Fixed FeeCharges Hourly FeeCharges Percentage AUMCharges Performance-Based
Compliance
Disclosures
Other Regulator Order (Past 10 Years)Other Regulator Violation FindingSEC/CFTC False Statement FindingSEC/CFTC Order EntrySEC/CFTC Penalty/Cease-and-DesistSEC/CFTC Violation FindingSRO Rule Violation
State Registrations
AKALARAZCACOCTDCDEFLGAHIIAIDILINKSKYLAMAMDMEMIMNMOMSMTNCNDNENHNJNMNVNYOHOKORPAPRRISCSDTNTXUTVAVTWAWIWV
Affiliates
Affiliates
Reported 7 business affiliates.
Claimed Affiliates
Reported as an affiliate by 4 other businesses.