Calton & Associates, Inc.

Broker-DealerFINRA MemberEst. 2009
Total AUM
$1.6B
Discretionary
$1.6B
99% of AUM
Accounts
6,969
Employees
373
Advisory reps
372
Brokerage reps
369

Firm details

Headquarters
Tampa, Florida
CRD number
20999
Registered since
April 7, 2009
Website
www.calton.com
Custodians
NATIONAL FINANCIAL SERVICES LLC, CHARLES SCHWAB & CO., INC., HILLTOP SECURITIES INC., GOLDMAN SACHS CUSTODY SOLUTIONS
Fee structure
Percentage of AUM, Hourly Charges, Fixed Fees, Commissions, Performance Based Fees
Client types
  • Individuals50.98%
  • HNWI40.99%
  • Pension & Profit Sharing Plans8.03%
Services
Financial PlanningPortfolio Management for IndividualsPortfolio Management for Institutional ClientsPension ConsultingSelection of Other Advisers

Firm profile

FINTRX

Overview

Calton & Associates, Inc. is a corporation that has been SEC-registered since 2009 and operates as an independent broker‑dealer and investment bank. The firm serves both individual and family clients as well as institutional investors, and it combines brokerage and insurance distribution with advisory services. Its advisory capabilities include financial planning, portfolio management for individuals/small businesses and for institutions, pension consulting and the selection of outside advisers. Fee arrangements are mixed: percentage of AUM, hourly and fixed fees, commissions and performance‑based fees are all part of its client billing options. Calton is not identified as an active ESG investor.

Assets & Accounts

Public Holdings

Investments & Alternatives

Location & Offices

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Investment profile

FINTRX

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

FINTRX

CRM & tech providers

TAMPs used

Clients

FINTRX

Client base

Client personas

Asset composition

Asset composition: Exchange Traded Equities 54%, Public Funds/Mutual Funds 28%, Other 12%, Cash & Cash Equivalents 6%, US Government Bonds 1%, State & Local Bonds 1%, Investment Grade Corp Bonds 1%54%
  • Exchange Traded Equities54%
  • Public Funds/Mutual Funds28%
  • Other12%
  • Cash & Cash Equivalents6%
  • US Government Bonds1%

Owners & executives

3 of 16
  • Michael Spears

    Michael Spears

    Chief Compliance OfficerCRD 4501523

  • Saad Rahmouni Idrissi

    Saad Rahmouni Idrissi

    SVP, Chief Compliance OfficerCRD 4071743

  • Aaron Kennedy

    Aaron Kennedy

    Chief Investment StrategistCRD 4131425

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Contacts

3 of 356
  • Chad Schwoerer

    Chad Schwoerer

    Financial AdvisorCRD 5684992

  • Steven Heinowitz

    Registered RepresentativeCRD 5781894

  • Joseph St George

    Joseph St George

    Financial ProfessionalCRD 5893217

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Wealth teams

FINTRX

Newly hired reps

FINTRX

Recent M&A activity

FINTRX

Recent filings

FINTRX

Awards

FINTRX

ETF holdings

1 of 343

Active vs passive

$716M in ETFs

Passive

75%

$536M

Active

16%

$180M

ETFProviderStyleCategoryValueShares% of portfolio
INVESCO QQQ TRUST SERIES 1 (QQQ)InvescoPassiveLarge Growth$41.5M56,3515.80%
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Location

Primary office

Tampa, FL

Hillsborough

Location

Tampa, FL

Headquartered in Tampa, FL, in the South of the United States.

Region
South
County
Hillsborough
Address
2701 N Rocky Point Dr
Time zone
ET (UTC-5)
Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth