Calton & Associates provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, pension consulting, and selecting other managers. Financial planning was provided to 51–100 clients last fiscal year.
Calton & Associates reports 5,283 clients. They include 4,778 individual clients, 278 high-net-worth individuals, and 227 pension and profit-sharing plans. Of its assets, 98.5% ($1.55B across 6,839 accounts) are managed with discretion; $22.9M across 130 accounts are not. A wrap fee program the firm both sponsors and manages holds $1.4B.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 90% | 51% |
| High-net-worth individuals | 5% | 41% |
| Pension and profit-sharing plans | 4% | 8% |
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 4,778 | $804M | 51.0% | $168K |
| High-net-worth individuals | 278 | $646M | 41.0% | $2.32M |
| Pension and profit-sharing plans | 227 | $127M | 8.0% | $558K |
| Total | 5,283 | $1.58B | 100% | $298K |
- Clients
- 4,778
- Regulatory AUM
- $804M
- AUM share
- 51.0%
- Avg. per client
- $168K
- Clients
- 278
- Regulatory AUM
- $646M
- AUM share
- 41.0%
- Avg. per client
- $2.32M
- Clients
- 227
- Regulatory AUM
- $127M
- AUM share
- 8.0%
- Avg. per client
- $558K
Total
- Clients
- 5,283
- Regulatory AUM
- $1.58B
- AUM share
- 100%
- Avg. per client
- $298K
- Clients outside the U.S.
- 0%
- Clients advised without assets under management last fiscal year
- 0
- Private funds advised
- 0
- Financial planning clients last fiscal year
- 51–100
Calton & Associates charges up to 2.60% for its Portfolio Management Services. The brochure does not state whether the rate is annual; its fees and minimums are set out in its brochures on the SEC website.
Randall Lee Ciccati owns 50% to 75% of Calton & Associates. The leadership team of Calton & Associates includes President Dwayne Kent Calton, Chief Financial Officer David Scott Cole and Chief Compliance Officer Saad Rahmouni Idrissi. It has 373 employees, 221 of them in advisory roles.
Staff
- 373 employees
- 221 in advisory functions
- 203 state-registered reps
- 369 broker-dealer reps
- 247 insurance agents
- 1 soliciting firm
- Owns 50% to 75% of Calton & Associates, Inc.
Randall Lee Ciccati
Control person · since June 2014
- Owns 25% to 50% of Calton & Associates, Inc.
Rameshwar Singh
Control person · since May 2014
- Owns 5% to 10% of Calton & Associates, Inc.
Jill Marie Ciccati
since March 2016
- Owns 5% to 10% of Calton & Associates, Inc.
The Louis Ciccati and Adeline Carmela Ciccati Revocable Trust
since July 2017
- Owns 5% to 10% of Calton & Associates, Inc.
The Louis Ciccati and Adeline
since July 2017
Calton & Associates’ regulatory assets grew from $1.44B (December 2020) to $1.58B (August 2026); clients fell from 5,991 to 5,283 and employees from 425 to 373.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | StaffEmployees | Offices |
|---|---|---|---|---|
| Aug 2026August 2026 | $1.58B | 5,283 | 373 | 71 |
| Jul 2025July 2025 | $1.22B | 6,062 | 515 | 150 |
| Mar 2024March 2024 | $1.06B | 6,125 | 515 | 150 |
| Mar 2023March 2023 | $970M | 5,485 | 486 | 150 |
| Dec 2021December 2021 | $1.29B | 7,498 | 467 | 154 |
| Dec 2020December 2020 | $1.44B | 5,991 | 425 | 138 |
Besides its headquarters, Calton & Associates has 70 offices (2 private residences, listed without an address), with 24 listed addresses across 11 states.
Florida · 10 listed addresses
- 2701 N. Rocky Point Drive, Suite 1000, TampaHQ
- 5 Portofino Drive, Pensacola Beach
- 1876 Eider CT., Tallahassee
- 2240 Belleair RD, Clearwater
- 510 Country Road, Lady Lake
- 2701 N Rocky Point Drive, Tampa
- 464 West Pipkin Road, Lakeland
- 14614 Village Glen Circle, Tampa
- 5494 Lake Howell RD, Winter Park
- 1315 Southeast 25th Loop, Ocala
California · 2 listed addresses
- 2130 E Bidwell St, Folsom
- 100 N Citrus Street, West Covina
Kentucky · 2 listed addresses
- 189 Hibbard Street, Pikeville
- 901 Lily Creek RD, Louisville
Minnesota · 2 listed addresses
- 881 Hwy 10 East, Detroit Lakes
- 1 South Minnesota Street, New Ulm
New Jersey · 2 listed addresses
- 307 Fellowship Road, Mount Laurel
- 1 Bethany Road, Hazlet
Idaho · 1 listed address
- 1215 S Maple Grove Road, Boise
Maryland · 1 listed address
- 705 Old Fallston Road, Fallston
Oregon · 1 listed address
- 1860 Coburg RD, Eugene
South Dakota · 1 listed address
- 2101 W 41st Street, Sioux Falls
Texas · 1 listed address
- 1002 Marble Heights DR, Marble Falls
Wisconsin · 1 listed address
- 7481 Felton Drive, Verona
Contact and registration details
- Legal name
- Calton & Associates, Inc.
- Headquarters
- 2701 N. Rocky Point Drive, Suite 1000, Tampa, FL 33607
- Website
- calton.com
- Phone
- 813-264-0440
- SEC file
- 801-70036
- Structure
- Florida corporation
- Fiscal year end
- September
Calton & Associates’ named custodians for separately managed accounts include Fidelity ($612M, 48%), Charles Schwab ($367M, 29%) and Hilltop Securities ($152M, 12%). Calton & Associates does not have custody of client assets.
- FidelityNational Financial Services LLC · Boston, MA · $612M48%
- Charles SchwabCharles Schwab & Co., Inc. · Westlake, TX · $367M29%
- Hilltop SecuritiesHilltop Securities Inc. · Dallas, TX · $152M12%
- Folio InvestmentsFolio Investments, Inc. · McLean, VA · $142M11%
At year end, Calton & Associates’ separately managed accounts were mostly in stocks (54%) and funds (28%). Its reported 13F holdings for the quarter ended 30 June 2026 total $683M across 419 positions; the largest are Invesco Qqq TR (6.1%), Northern Lts FD TR II (3.8%) and SPDR Series Trust (3.4%).
What the accounts hold
- Stocks54%
- Funds28%
- Bonds3%
- U.S. government and agency bonds1%
- State and local bonds1%
- Investment grade corporate bonds1%
- Cash6%
- Other12%
- Reg d and otc securities12%
How many clients does Calton & Associates have?
Calton & Associates has 5,283 clients and manages $1.58 billion for them, as of August 2026. They include 4,778 individual clients, 278 high-net-worth individuals, and 227 pension and profit-sharing plans.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 6 August 2026
What services does Calton & Associates offer?
Calton & Associates provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, pension consulting, and selecting other managers.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file
How much does Calton & Associates charge?
Calton & Associates charges up to 2.60% for its Portfolio Management Services. The brochure does not state whether the rate is annual.
Source: FORM ADV PART 2A DISCLOSURE BROCHURE, filed 26 December 2025
Which custodians does Calton & Associates use?
Calton & Associates’ separately managed account assets are held at National Financial Services LLC (Boston, MA), with $612M, Charles Schwab & Co., Inc. (Westlake, TX), with $367M, Hilltop Securities Inc. (Dallas, TX), with $152M and Folio Investments, Inc. (McLean, VA), with $142M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 6 August 2026
How many financial advisors does Calton & Associates have?
Calton & Associates has 203 investment adviser representatives registered with state securities authorities, out of 373 employees, and 221 perform investment advisory functions. 369 employees are registered representatives of a broker-dealer and 247 employees are licensed insurance agents.
Source: Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file
What does Calton & Associates invest in?
At the end of its last fiscal year, Calton & Associates’ separately managed accounts held 54% exchange-traded equities, 28% registered funds (mutual funds, ETFs, BDCs), 12% other, 6% cash and equivalents, 1% U.S. government and agency bonds, 1% state and local bonds and 1% investment grade corporate bonds. The 12% other category is described as: Reg D and Otc Securities.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns Calton & Associates?
Calton & Associates’ direct owners are Randall Lee Ciccati (50% to 75%), Jill Marie Ciccati (5% to 10%), Rameshwar Singh (25% to 50%), the Louis Ciccati and Adeline Carmela Ciccati Revocable Trust (5% to 10%), and the Louis Ciccati and Adeline (5% to 10%).
Source: Form ADV Part 1A, Schedules A and B, filed 6 August 2026
How does Calton & Associates get paid?
Calton & Associates is paid through a percentage of assets under management, hourly charges, fixed fees, commissions and performance-based fees.
Source: Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file
How do I contact Calton & Associates?
Calton & Associates’ main office is at 2701 N. Rocky Point Drive, Suite 1000, Tampa, FL 33607. Its phone number is 813-264-0440. Its website is calton.com.