SEC-registered firm
Registration does not mean the SEC approves or recommends the firm, and it does not imply a certain level of skill or training.
Calton & Associates, Inc.
Tampa, FL
CRD 20999
Firm filing updated August 6, 2026 ·
- $1.6BAssets
- 5,283Clients
- 221Advisory staff
- 6,969Accounts
Fees and minimums
- Hourly feesAsk the firm for the rate
All fee types on the form
- Percentage of assets under managementYes
- Hourly chargesYes
- Fixed feesYes
- CommissionsYes
- Performance-based feesYes
- Subscription fees (for a newsletter or periodical)No
- OtherNo
Who the firm serves
- Individuals4,778
- High net worth individuals278
- Pension and profit sharing plans227
See the client table
| Client type | Approximate number of clients | Assets |
|---|---|---|
| Individuals (other than high net worth) | 4,778 | $803.7 million |
| High net worth individuals | 278 | $646.2 million |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 227 | $126.6 million |
What the client labels mean
Here, "individuals" includes trusts, estates, and IRAs of individuals. A "high net worth individual" is a qualified client or qualified purchaser.
Services
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
See all 5 services
- Pension consulting services
- Selection of other advisors (including private fund managers)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisors (including private fund managers)
Assets and accounts
- Regulatory assets$1.6 billion
- Accounts6,969
- Discretionary$1.6 billion · 6,839 accounts
- Non-discretionary$22.9 million · 130 accounts
People
- Employees373
- Advisory staff221
- Broker-dealer reps369
- Licensed insurance agents247
- Planning clients51 to 100
Advisors
68 advisors with a profile on Advisable
Listed A to Z by last name. Not a ranking.
Registration details
- SEC-registered investment advisor. CRD 20999, SEC file 801-70036.
- Registered with the SEC as an investment advisor (status date on record: April 7, 2009).
Is Calton & Associates, Inc. a fiduciary?
Short answer: Calton & Associates, Inc. is registered with the SEC as an investment advisor. Some of its people may also act in other roles, such as for a broker-dealer or as insurance agents, where different rules apply. Details below.
More detail
The SEC put it this way in 2019: 'Under federal law, an investment adviser is a fiduciary.'
Some of the firm's people may also act for a broker-dealer: 369 staff are broker-dealer representatives and the firm is itself a broker-dealer. When someone acts for a broker-dealer, a different SEC standard, Regulation Best Interest, applies to their recommendations. Ask which role they are acting in.
247 staff are licensed insurance agents and the firm is itself an insurance broker or agent.
The firm's Form CRS explains its services, fees and conflicts in plain language: Form CRS.
About this data
Informational only. Advisable Finance is not an investment advisor, does not give investment advice, and does not endorse any advisor.