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CALTON & ASSOCIATES, INC.
CRD 20999File 801-70036
APPROVED
Retail clients
Disclosure events
Filing as of Aug 6, 2026
Feed vintage Oct 1, 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, 5GCompensation
- 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 | Change |
|---|---|---|---|---|
| Jan 1, 2026 | Employees | 515 | 373 | decreased by142 |
| Jan 1, 2026 | Clients | 6,062 | 5,283 | decreased by779 |
| Jan 1, 2026 | AUM | $1,216,021,701 | $1,576,517,756 | increased by$360,496,055 |
| Jan 1, 2026 | Accounts | 7,559 | 6,969 | decreased by590 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 467 | 515 | increased by48 |
| May 1, 2025 vs Oct 1, 2022 | Custody | Yes | No | |
| May 1, 2025 vs Oct 1, 2022 | Clients | 7,498 | 6,062 | decreased by1,436 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $1,290,950,297 | $1,216,021,701 | decreased by$74,928,596 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 10,644 | 7,559 | decreased by3,085 |
| Jan 1, 2022 | Employees | 425 | 467 | increased by42 |
| Jan 1, 2022 | Clients | 5,991 | 7,498 | increased by1,507 |
| Jan 1, 2022 | AUM | $1,442,430,317 | $1,290,950,297 | decreased by$151,480,020 |
| Jan 1, 2022 | Accounts | 8,676 | 10,644 | increased by1,968 |
| Apr 1, 2021 | Registration | — | APPROVED |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “CALTON ASSOCIATES” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“CALTON ASSOCIATES” may also match similarly-named firms). Confirm identity against each filing.
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.