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Calton & Associates, Inc.
Calton & Associates, Inc. is an independently owned, full-service securities broker-dealer and SEC-registered investment adviser headquartered in Tampa, Florida. Founded in 1987, Calton provides personalized investment solutions and advisory platforms to retail and institutional clients across all 50 U.S. states, Puerto Rico, and the Virgin Islands. The firm supports a network of independent financial advisors, offering both brokerage and investment advisory services, and employs around 80 professionals. Calton is a member of FINRA and SIPC, dedicated to advisor independence and customized financial services.
Investment Strategy
Calton & Associates offers a broad spectrum of investment products including stocks, bonds (municipal and corporate), mutual funds, ETFs, futures, options, and access to private and alternative investments. The firm adopts a client-centric approach, tailoring comprehensive financial planning solutions such as investment management, retirement planning, estate planning, and tax strategy for individuals and families. Advisors are empowered to deliver independent, unbiased advice drawn from a wide range of investment vehicles, supported by robust compliance, administrative, and operational resources.
Latest 13F Filing Activity
Calton & Associates, Inc. filed their most recent 13F report on Jun 30, 2025 disclosing 379 equity positions with a total 13F market value of $578M. The fund increased holdings in Invesco QQQ TR, Vanguard World FD, SPDR Series Trust among other positions. Calton & Associates, Inc. reduced exposure to Pacer FDS TR, Home Depot Inc., Pacer FDS TR among others.
Top Holdings
Equity Positions (379)
| Ticker | Security | Weight | Market Value | Shares | Avg Cost | Price | Change (QoQ) |
|---|---|---|---|---|---|---|---|
Q QQQ | INVESCO QQQ TR | 5.52% | $31.9M | 57,872 | $464.29 | $551.64 | +$13.0M |
S SPY | SPDR S&P 500 ETF TR | 3.27% | $18.9M | 30,622 | $502.86 | $617.85 | +$3.9M |
S SPLG | SPDR SERIES TRUST | 2.82% | $16.3M | 224,128 | $67.89 | $72.69 | +$6.2M |
A AAPL | APPLE INC | 2.39% | $13.8M | 67,483 | $185.81 | $205.17 | -$2.6M |
F FDVV | FIDELITY COVINGTON TRUST | 2.39% | $13.8M | 265,918 | $50.07 | $52.02 | +$5.9M |
Industry Allocation
Investment Team (3)
| Name | Role | Location | |
|---|---|---|---|
A Alan Harman | Vice president- investments | Delray Beach, FL , United States | |
L Lee Lunceford | Senior Partner | Little Rock, AR , United States | |
 | Analyst | Tampa, FL , United States |
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