Broker-dealer firm · Tampa, FL
Calton & Associates, Inc.
SEC-registered investment adviser · CRD 20999 · SEC 801-70036
At a glance
Calton & Associates, Inc. is an SEC-registered investment adviser based in Tampa, Florida, with $1.6 billion in regulatory assets under management as of its Form ADV filed August 6, 2026. Its largest client group by assets is individuals, and it reports 5,056 individual clients. By Form ADV it is a broker-dealer firm, ranked 144th of 391 broker-dealer firms and 4,147th of 17,210 SEC-registered advisers by assets.
Main office 813-264-0440calton.comAs filed on Form ADV
- Regulatory AUM
- $1.6B
- Rank among broker-dealer firms
- #144 of 391
- Rank among all SEC RIAs
- #4,147 of 17,210
- Rank in Florida
- #199 of 1,090
- Individual clients
- 5,056
- High-net-worth clients
- 278
- Accounts
- 6,969
- Discretionary
- 99% of AUM
- Employees
- 373
- Advisory staff
- 221
- Offices
- 71
Owners and executives on its Form ADV
- Derek Jay CaltonVice President - Director
- Randall Lee CiccatiCEO / Director
- Randall Lee CiccatiShareholder
- Rameshwar SinghShareholder
- Austin Louis CiccatiShareholder
- Carly Marie CiccatiShareholder
- Rameshwar SinghDirector / Secretary /president of Advisory Services
- Paul Reid RichardsonChief Operations Officer
- Saad Rahmouni IdrissiChief Compliance Officer
- David Scott ColeChief Financial Officer/finop
Custody and brokerage
Broker-dealer
Hybrid RIA
Calton & Associates, Inc. is a hybrid RIA: 369 of its employees are also registered representatives of a broker-dealer.
Its Form ADV brochure (filed December 2025) names Calton & Associates as the broker-dealer its advisers are registered with.
All persons associated with Calton are expected to adhere strictly to these guidelines.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Individuals | 4,778 | $804M | 51% |
| High-net-worth individuals | 278 | $646M | 41% |
| Pension and profit sharing plans | 227 | $127M | 8% |
Disciplinary disclosures
Calton & Associates, Inc. answers yes to 14 disclosure items in Item 11 of Form ADV (criminal, regulatory or civil matters involving the firm or its advisory affiliates). Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
- Portfolio management for businesses and institutions
- Pension consulting
- Selecting other advisers
How it’s paid
- A percentage of assets under management
- Hourly charges
- Fixed fees
- Commissions
- Performance-based fees
Form ADV and brochures on the SEC’s adviser search ↗calton.com ↗
AtlasMembers
The full record on Calton & Associates, Inc.
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, ten years of filings
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- Growth over one, three and five years
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- Rank against 115 peers of its type and size
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- Owners and executives, with titles and stakes
- 13 namedLocked
- Main office, fax and compliance officer
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- Filing changes this year, with alerts
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Background
Questions
How much does Calton & Associates, Inc. manage?
Calton & Associates, Inc. reports $1.6 billion in regulatory assets under management across 6,969 accounts, 99% of it on a discretionary basis, on its Form ADV filed August 6, 2026.
What kind of firm is Calton & Associates, Inc.?
Calton & Associates, Inc. is a broker-dealer firm by its Form ADV answers. The firm is itself registered as a broker-dealer as well as an investment adviser.
Who are Calton & Associates, Inc.’s clients?
By assets, its largest client types are individuals ($804 million, 4,778 clients); high-net-worth individuals ($646 million, 278 clients); pension and profit sharing plans ($127 million, 227 clients).
Does Calton & Associates, Inc. have any disciplinary history?
Calton & Associates, Inc. answers yes to 14 disclosure items in Item 11 of Form ADV, which covers criminal, regulatory and civil matters involving the firm or its advisory affiliates. The details are on the SEC’s adviser search.
Where these numbers come from
Every figure is Calton & Associates, Inc.’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-08-06), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →