CALTON & ASSOCIATES, INC.

CRD 20999File 801-70036

APPROVED

Retail clients

Disclosure events

Filing as of Aug 6, 2026

Feed vintage Aug 17, 2026

Regulatory AUM

$1.58B

Top 25% of cohort (national)

Discretionary AUM

$1.55B

Non-discretionary $22.9M

Clients

5,283

6,969 accounts

Employees

373

Top 25% of cohort in FL

Identity & registration

ADV Item 1

Organization form: Corporation
Firm type: Registered
SEC region: MIRO
Registration date: Apr 7, 2009
Principal office: 2701 N. ROCKY POINT DRIVE, SUITE 1000, TAMPA, FL, 33607
Phone: 813-264-0440
Website: HTTP://WWW.CALTON.COM

Assets & accounts

ADV Item 5F

Total regulatory AUM: $1.58B
Discretionary AUM: $1.55B
Non-discretionary AUM: $22.9M
Discretionary accounts: 6,839
Non-discretionary accounts: 130
Total accounts: 6,969
AUM per client: $298K

Clients by type

ADV Item 5D

Client type	Clients	AUM
High net worth individuals	278	$646.2M
Pension and profit sharing plans	227	$126.6M
Individuals (other than high net worth individuals)	4,778	$803.7M

Compensation & activities

ADV Items 5E, 5G

Compensation

Fixed fees
Commissions
Hourly charges
Performance-based fees
A percentage of assets under your management

Advisory activities

Financial planning services
Selection of other advisers
Portfolio management for other
Portfolio management for businesses
Portfolio management for individuals and/or small businesses

Custody

ADV Item 9

Firm Custody Cash: No
Firm Custody Assets: No
Firm Custody Clients: No
Firm Custody Securities: No
Related Person Custody Cash: No
Related Person Custody Assets: No
Related Person Custody Clients: No
Related Person Custody Securities: No

Disclosure events

ADV Item 11

Q11
Q11C1
Q11C2
Q11C4
Q11C5
Q11D2
Q11D4
Q11E2

Filed changes

Date	Field	From	To
Aug 12, 2026	Registration	—	APPROVED

Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.