Hedge Fund Database

CALTON & ASSOCIATES, INC.

Adviser information for CALTON & ASSOCIATES, INC. last updated from Form ADV on March 5th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.

Advisory Business

Type of Organization Corporation
Fiscal Year End SEPTEMBER
Legal Location Florida, United States

Employees

Total Number of Employees 515
Investment Advisory/Research 221
Registered Broker-Dealer Representatives 375
Registered State Investment Advisers 130
Licensed Agents of an Insurance Company 236
No. of Firms/People that Solicit Clients 2

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 6,636 $1.0B
Non-Discretionary 210 $27.2M
Total 6,846 $1.1B

Clients

Type Number RAUM
Individuals 5,816 $733.1M
HNW Individuals 147 $297.0M
Banking or thrift institutions 0 $0
Investment companies 0 $0
Business development companies 0 $0
Pooled investment vehicles 0 $0
Pension and profit sharing plans 162 $29.0M
Charitable organizations 0 $0
State or municipal gov entities 0 $0
Other investment advisers 0 $0
Insurance companies 0 $0
Sovereign wealth funds and foreign official institutions 0 $0
Corporations or other businesses 0 $0
Other 0 $0
Type Number
No. of Non-RAUM Clients 0
No. of Non-U.S. Clients 0
No. of Financial Planning Clients 26-50

Services

Advisory Services Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting servicesSelection of other advisers (including private fund managers)
Compensation % of AUMHourly chargesFixed feesCommissionsPerformance-based fees
Other Business Activities Broker-dealerInsurance broker or agent

Wrap Fee Program

Offers Wrap Fee Program Yes
Acting As RAUM
Sponsor 0
Portfolio Manager 0
Both for Same 992.1M
Portfolio Manager to Program Sponsor
PREMIER MANAGED ADVISORY PROGRAMS CALTON & ASSOCIATES, INC.
INNOVATION MANAGED ADVISORY PROGRAM CALTON & ASSOCIATES, INC.

Identifiers

SEC RIA File Number 801-70036
SEC ERA File Number 801-70036
SEC CIK Numbers 822648
SEC CRD Numbers 20999
Legal Entity Identifier 254900TDJ7LH64ZKRY86

Principal Office

2701 N. ROCKY POINT DRIVE
SUITE 1000
TAMPA
FL
United States
Monday - Friday, 9:00AM TO 5:00PM
Tel: 813-264-0440, Fax: 813-264-9712

Websites

www.calton.com

Chief Compliance Officer

SAAD RAHMOUNI IDRISSI
SENIOR VICE PRESIDENT
2701 N. ROCKY POINT DRIVE
SUITE 1000
TAMPA
FL
United States
Tel: 813-264-0440
Fax: 813-264-9712
(Full email address available in API data)

Regulatory Contact

RAMESHWAR SINGH
PRESIDENT, ADVISORY SERVICES
2701 N. ROCKY POINT DRIVE
SUITE 1000
TAMPA
FL
United States
Tel: 813-264-0440
Fax: 813-264-9712
(Full email address available in API data)

Industry Affiliates

DOMINION PORTFOLIO MANAGEMENT, INC. Other investment adviser, including financial planners
PEAKSHARES LLC Other investment adviser, including financial planners

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
None

Control Persons

Name Type Entity Title Since Ownership
CALTON, DWAYNE KENT Individual – PRESIDENT - DIRECTOR 09/1987 < 5%
CALTON, DEREK JAY Individual – VICE PRESIDENT - DIRECTOR 12/1997 < 5%
CICCATI, RANDALL LEE Individual – CEO / DIRECTOR 06/2014 50-75%
CICCATI, RANDALL LEE Individual – SHAREHOLDER 09/2012 50-75%
CICCATI, JILL MARIE Individual – SHAREHOLDER 09/2012 5-10%
SINGH, RAMESHWAR Individual – SHAREHOLDER 05/2014 10-25%
CICCATI, AUSTIN LOUIS Individual – SHAREHOLDER 05/2014 < 5%
CICCATI, CARLY MARIE Individual – SHAREHOLDER 05/2014 < 5%
SINGH, RAMESHWAR Individual – DIRECTOR / SECRETARY /PRESIDENT OF ADVISORY SERVICES 12/2014 10-25%
THE LOUIS CICCATI AND ADELINE CARMELA CICCATI REVOCABLE TRUST Domestic Entity – SHAREHOLDER, LOUIS CICCATI AND ADELINE CARMELA CICCATI, TTEE 07/2017 5-10%
CICCATI, ADELINE CARMELA Individual – TRUSTEE OF THE LOUIS CICCATI AND ADELINE CARMELA CICCATI REVOCABLE TRUST 07/2017 < 5%
RICHARDSON, PAUL REID Individual – CHIEF OPERATIONS OFFICER 10/2020 < 5%
FUSSA OCASIO, FERNANDO Individual – CHIEF FINANCIAL OFFICER/FINOP 04/2022 < 5%
RAHMOUNI IDRISSI, SAAD Individual – CHIEF COMPLIANCE OFFICER 01/2023 < 5%

No. Employees, Historic

60030002019202020212022202320242025362 on 4/2/2019450 on 12/20/2019450 on 6/30/2020450 on 7/17/2020450 on 7/17/2020450 on 9/11/2020425 on 12/17/2020425 on 9/9/2021467 on 12/22/2021467 on 9/8/2022486 on 12/21/2022486 on 3/20/2023486 on 8/16/2023515 on 12/14/2023515 on 3/5/2024

RAUM, Historic

2B1B020192020202120222023202420251067007652 on 4/2/20191315840584 on 12/20/20191315840584 on 6/30/20201315840584 on 7/17/20201315840584 on 7/17/20201315840584 on 9/11/20201442430317 on 12/17/20201442430317 on 9/9/20211290950297 on 12/22/20211290950297 on 9/8/2022970466410 on 12/21/2022970466410 on 3/20/2023970466410 on 8/16/20231059090559 on 12/14/20231059090559 on 3/5/2024

No. Clients, Historic

8,0004,000020192020202120222023202420254990 on 4/2/20195354 on 12/20/20195354 on 6/30/20205354 on 7/17/20205354 on 7/17/20205354 on 9/11/20205991 on 12/17/20205991 on 9/9/20217498 on 12/22/20217498 on 9/8/20225485 on 12/21/20225485 on 3/20/20235485 on 8/16/20236125 on 12/14/20236125 on 3/5/2024

Holdings

From latest 13F, filed July 19th, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
3M CO COM 226K 2K –
ABBVIE INC COM 618K 4K –
ADVANCED MICRO DEVICES INC COM 676K 4K –
ALIBABA GROUP HLDG LTD SPONSORED ADS 307K 4K –
ALLSTATE CORP COM 344K 2K –
ALPHABET INC CAP STK CL C 882K 5K –
ALPHABET INC CAP STK CL A 306K 2K –
ALPS ETF TR EM SECT DIV DG 937K 45K –
ALTRIA GROUP INC COM 258K 6K –
AMAZON COM INC COM 1M 7K –
AMGEN INC COM 222K 711 –
APPLE INC COM 8M 40K –
APPLIED MATLS INC COM 270K 1K –
AST SPACEMOBILE INC COM CL A 128K 11K –
AT&T INC COM 701K 37K –
BANK AMERICA CORP COM 825K 21K –
BERKSHIRE HATHAWAY INC DEL CL B NEW 3M 8K –
BLACKROCK CAP ALLOCATION TER COM 419K 26K –
BLACKROCK ESG CAP ALLC TERM SHS BEN INT 269K 15K –
BRISTOL-MYERS SQUIBB CO COM 407K 10K –
CAPITAL GROUP DIVIDEND VALUE SHS CREATION UNI 306K 9K –
CAPITAL GROUP GBL GROWTH EQT SHS CREATION UNI 1M 38K –
CAPITAL GROUP GROWTH ETF SHS CREATION UNI 3M 103K –
CARVER BANCORP INC COM NEW 25K 18K –
CHEVRON CORP NEW COM 1M 8K –
CHURCH & DWIGHT CO INC COM 338K 3K –
CISCO SYS INC COM 493K 10K –
CITIGROUP INC COM NEW 380K 6K –
COMMUNITY TR BANCORP INC COM 423K 10K –
CONSTELLATION ENERGY CORP COM 341K 2K –
CUMMINS INC COM 443K 2K –
DBX ETF TR XTRACK MSCI EAFE 470K 11K –
DELTA AIR LINES INC DEL COM NEW 234K 5K –
DISNEY WALT CO COM 253K 3K –
EATON CORP PLC SHS 242K 772 –
ELI LILLY & CO COM 937K 1K –
EXXON MOBIL CORP COM 799K 7K –
FIDELITY COVINGTON TRUST HIGH DIVID ETF 1M 22K –
FIDELITY MERRIMACK STR TR CORP BOND ETF 781K 17K –
FIRST TR EXCHANGE-TRADED FD WTR ETF 219K 2K –
FIRST TR EXCHANGE-TRADED FD FIRST TR ENH NEW 230K 4K –
FIRST TR EXCHANGE-TRADED FD RISNG DIVD ACHIV 469K 9K –
FIRST TR EXCHANGE-TRADED FD NAT GAS ETF 216K 8K –
FIRST TR EXCHANGE-TRADED FD CAP STRENGTH ETF 401K 5K –
FIRST TR EXCHANGE-TRADED FD US EQTY OPPT ETF 1M 14K –
FIRST TR EXCHANGE-TRADED FD SMID RISNG ETF 212K 6K –
FIRST TR MORNINGSTAR DIVID L SHS 393K 10K –
FLEXSHARES TR MORNSTAR UPSTR 239K 6K –
FMC CORP COM NEW 209K 4K –
FORD MTR CO DEL COM 524K 42K –
FRANKLIN BSP RLTY TR INC COMMON STOCK 161K 13K –
FRANKLIN TEMPLETON ETF TR INCOME FOCUS ETF 224K 9K –
FS KKR CAP CORP COM 461K 23K –
GE AEROSPACE COM NEW 329K 2K –
GOLDMAN SACHS GROUP INC COM 840K 2K –
GRAINGER W W INC COM 858K 951 –
GSK PLC SPONSORED ADR 271K 7K –
HOME DEPOT INC COM 2M 7K –
HONEYWELL INTL INC COM 321K 2K –
INTEL CORP COM 235K 8K –
INVENTRUST PPTYS CORP COM NEW 723K 29K –
INVESCO EXCH TRADED FD TR II S&P SMALLCAP 600 309K 8K –
INVESCO EXCH TRADED FD TR II NASDAQ 100 ETF 292K 1K –
INVESCO EXCH TRD SLF IDX FD BLOOMBERG PRICIN 208K 3K –
INVESCO EXCHANGE TRADED FD T INTL DIVI ACHI 204K 11K –
INVESCO EXCHANGE TRADED FD T S&P 500 GARP ETF 2M 19K –
INVESCO EXCHANGE TRADED FD T DORSEY WRIGHT MO 1M 14K –
INVESCO EXCHANGE TRADED FD T BUYBACK ACHIEV 747K 7K –
INVESCO EXCHANGE TRADED FD T S&P500 EQL WGT 471K 3K –
INVESCO QQQ TR UNIT SER 1 12M 25K –
ISHARES INC MSCI BRAZIL ETF 304K 11K –
ISHARES INC MSCI CDA ETF 656K 18K –
ISHARES TR ISHARES BIOTECH 801K 6K –
ISHARES TR US CONSM STAPLES 538K 8K –
ISHARES TR CALIF MUN BD ETF 226K 4K –
ISHARES TR FLTG RATE NT ETF 592K 12K –
ISHARES TR TIPS BD ETF 1M 13K –
ISHARES TR SELECT DIVID ETF 234K 2K –
ISHARES TR CORE S&P500 ETF 860K 2K –
ISHARES TR PFD AND INCM SEC 1M 35K –
ISHARES TR MSCI INDIA SM CP 349K 4K –
ISHARES TR MSCI INDIA ETF 1M 24K –
ISHARES TR S&P SML 600 GWT 601K 5K –
ISHARES TR US AER DEF ETF 1M 8K –
ISHARES TR MSCI EURO FL ETF 373K 17K –
ISHARES TR S&P 500 GRWT ETF 934K 10K –
ISHARES TR CHINA LG-CAP ETF 490K 19K –
ISHARES TR RUS TP200 GR ETF 252K 1K –
ISHARES TR CORE S&P TTL STK 691K 6K –
ISHARES TR TRS FLT RT BD 425K 8K –
ISHARES TR MSCI EMG MKT ETF 889K 21K –
ISHARES TR CORE US AGGBD ET 617K 6K –
ISHARES TR RUSSELL 2000 ETF 322K 2K –
JOHNSON & JOHNSON COM 835K 6K –
JPMORGAN CHASE & CO. COM 2M 8K –
LOCKHEED MARTIN CORP COM 442K 947 –
MARVELL TECHNOLOGY INC COM 231K 3K –
MASTERCARD INCORPORATED CL A 403K 913 –
MERCK & CO INC COM 245K 2K –
META PLATFORMS INC CL A 695K 1K –
MICRON TECHNOLOGY INC COM 271K 2K –
MICROSOFT CORP COM 3M 7K –
MORGAN STANLEY COM NEW 556K 6K –
NIO INC SPON ADS 42K 10K –
NORTHERN LTS FD TR II PEAKSHARES SECTO 6M 220K –
NVIDIA CORPORATION COM 2M 18K –
OLD DOMINION FREIGHT LINE IN COM 203K 1K –
PACER FDS TR TRENDPILOT 100 2M 34K –
PACER FDS TR US CASH COWS 100 4M 81K –
PACER FDS TR PACER US SMALL 842K 19K –
PACER FDS TR TRENDP US LAR CP 899K 18K –
PALANTIR TECHNOLOGIES INC CL A 236K 9K –
PALO ALTO NETWORKS INC COM 233K 687 –
PFIZER INC COM 704K 25K –
PHILLIPS EDISON & CO INC COMMON STOCK 1M 37K –
PNC FINL SVCS GROUP INC COM 731K 5K –
POWERSHARES ACTIVELY MANAGED ULTRA SHRT DUR 444K 9K –
POWERSHARES ACTIVELY MANAGED VAR RATE INVT 300K 12K –
PROCTER AND GAMBLE CO COM 420K 3K –
PSQ HOLDINGS INC CL A 167K 44K –
PUBLIC SVC ENTERPRISE GRP IN COM 475K 6K –
RAYMOND JAMES FINL INC COM 315K 3K –
RBB FD INC MOTLEY FOL ETF 247K 5K –
SCHWAB CHARLES CORP COM 257K 3K –
SELECT SECTOR SPDR TR ENERGY 292K 3K –
SELECT SECTOR SPDR TR TECHNOLOGY 2M 9K –
SELECT SECTOR SPDR TR SBI HEALTHCARE 2M 13K –
SELECT SECTOR SPDR TR FINANCIAL 931K 23K –
SOFI TECHNOLOGIES INC COM 201K 30K –
SPDR GOLD TR GOLD SHS 1M 7K –
SPDR INDEX SHS FDS GLB NAT RESRCE 249K 4K –
SPDR INDEX SHS FDS EURO STOXX 50 1M 22K –
SPDR INDEX SHS FDS PORTFOLIO EMG MK 505K 13K –
SPDR INDEX SHS FDS PORTFOLIO DEVLPD 547K 16K –
SPDR S&P 500 ETF TR TR UNIT 9M 17K –
SPDR SER TR PORTFOLIO S&P500 1M 20K –
SPDR SER TR S&P BIOTECH 512K 6K –
SPDR SER TR PRTFLO S&P500 VL 950K 19K –
SPDR SER TR S&P BK ETF 613K 13K –
SPDR SER TR S&P METALS MNG 1M 18K –
SPDR SER TR BBG CONV SEC ETF 645K 9K –
SPDR SER TR FTSE INT GVT ETF 366K 9K –
SPDR SER TR PRTFLO S&P500 GW 582K 7K –
SPDR SER TR S&P 600 SMCP VAL 3M 37K –
SPDR SER TR S&P REGL BKG 2M 35K –
SPDR SER TR BLOOMBERG INVT 6M 211K –
SPDR SER TR PRTFLO S&P500 HI 4M 93K –
SSGA ACTIVE ETF TR BLACKSTONE SENR 4M 97K –
SSGA ACTIVE ETF TR SPDR TR TACTIC 1M 25K –
SUPER MICRO COMPUTER INC COM 243K 297 –
TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADS 263K 2K –
TARGET CORP COM 215K 1K –
TESLA INC COM 283K 1K –
TORONTO DOMINION BK ONT COM NEW 368K 7K –
TRUIST FINL CORP COM 326K 8K –
UNISYS CORP COM NEW 41K 10K –
UNITED PARCEL SERVICE INC CL B 463K 3K –
UNITED RENTALS INC COM 393K 607 –
UNIVERSAL DISPLAY CORP COM 432K 2K –
VANECK ETF TRUST GOLD MINERS ETF 1M 40K –
VANGUARD ADMIRAL FDS INC 500 GRTH IDX F 258K 775 –
VANGUARD BD INDEX FDS SHORT TRM BOND 2M 22K –
VANGUARD BD INDEX FDS TOTAL BND MRKT 209K 3K –
VANGUARD INDEX FDS S&P 500 ETF SHS 1M 2K –
VANGUARD INDEX FDS GROWTH ETF 6M 17K –
VANGUARD MUN BD FDS TAX EXEMPT BD 295K 6K –
VANGUARD TAX-MANAGED FDS VAN FTSE DEV MKT 2M 35K –
VANGUARD WORLD FD MEGA CAP VAL ETF 572K 5K –
VANGUARD WORLD FD INF TECH ETF 253K 438 –
VANGUARD WORLD FD CONSUM STP ETF 2M 11K –
VANGUARD WORLD FD CONSUM DIS ETF 221K 709 –
VANGUARD WORLD FD MEGA CAP INDEX 5M 25K –
VANGUARD WORLD FD ENERGY ETF 1M 9K –
VANGUARD WORLD FD HEALTH CAR ETF 5M 18K –
VANGUARD WORLD FD FINANCIALS ETF 7M 74K –
VANGUARD WORLD FD INDUSTRIAL ETF 1M 5K –
VERIZON COMMUNICATIONS INC COM 405K 10K –
VICTORY PORTFOLIOS II VCSHS US 500 ENH 1M 22K –
VICTORY PORTFOLIOS II VCSHS US 500 VOL 230K 3K –
VICTORY PORTFOLIOS II VCSHS US EQ INCM 1M 18K –
VOLATO GROUP INC CL A COM 43K 73K –
VOLATO GROUP INC *W EXP 12/04/202 17K 1M –
WALMART INC COM 328K 5K –
WISDOMTREE TR US QTLY DIV GRT 293K 4K –
WISDOMTREE TR US MIDCAP DIVID 289K 6K –
WISDOMTREE TR INDIA ERNGS FD 374K 8K –
WISDOMTREE TR FLOATNG RAT TREA 3M 58K –
WISDOMTREE TR JAPN HEDGE EQT 447K 4K –