Marble Falls, TX 809 12th Street Suite C3 B & C Office
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Calton & Associates, Inc.
Multi-team
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About
Calton & Associates serves individual investors, retirement plans, trusts, estates and other retail clients, providing portfolio management, fee-based financial planning, retirement plan consulting, and access to third‑party money managers. The firm also offers commissionable brokerage and insurance products through its dual registration as both a registered investment adviser and a broker‑dealer, and its IARs often operate in multiple capacities when working with clients.
Investment recommendations are tailored by each IAR based on client goals, risk tolerance, time horizon and liquidity needs, with discretionary and non‑discretionary management options. Calton offers multiple program structures — including firm‑managed wrap programs (I‑MAP and P‑MAP), separate account platforms, and a T‑MAP program that places assets with approved third‑party money managers — and uses a range of analytic approaches from fundamental and technical analysis to covered‑call strategies.
Notable features in the brochure that differentiate Calton from many peers include its retail broker‑dealer and insurance operations that result in commission‑based product sales alongside AUM fees, its affiliation with PeakShares LLC (an ETF adviser), and its role as sponsor/manager of wrap programs. The firm’s regulatory history — including an SEC consent order tied to mutual‑fund share‑class selection and subsequent adoption of a policy crediting back 12b‑1 fees, as well as FINRA matters — is disclosed and may be relevant to prospective clients evaluating its governance and supervisory practices.
Based on Calton & Associates, Inc.
Expertise
Based on Calton & Associates, Inc.
Location
809 12th Street, Suite C3 B & C
Marble Falls TX 78654
Advisors at this office
3
Advisors at this office
Johana H
Series 63, Series 66
Marble Falls, TX
Calton & Associates, Inc.
Johana Huff is a financial advisor at Calton & Associates, Inc. with 37 years of industry experience. She holds the Series 63 and Series 66 designations and has been with Calton & Associates since 2012. Calton & Associates serves individual investors, retirement plans, trusts, estates, and other retail clients by providing portfolio management, fee-based financial planning, retirement plan consulting, and access to third-party money managers. The firm offers a range of investment programs and analytic approaches, combining registered investment adviser and broker-dealer services.
Lester S
Series 66
Marble Falls, TX
Calton & Associates, Inc.
Lester Sack Jr. is a financial advisor with Calton & Associates, Inc. in Austin, TX, holding a Series 66 designation and bringing 18 years of industry experience. He has been with Calton & Associates since 2012. Outside of his advisory role, he is a partial owner of a nail polish wholesale and retail business and owns a commercial real estate property management company. Calton & Associates serves individual investors, retirement plans, trusts, estates, and other retail clients with portfolio management, financial planning, and retirement plan consulting, offering both fee-based and commissionable products. The firm provides tailored investment strategies through various program structures and employs a range of analytic approaches, including fundamental and technical analysis as well as covered-call strategies.
Don G
Series 63, Series 66
Marble Falls, TX
Calton & Associates, Inc.
Don Guess is a financial advisor with Calton & Associates, Inc. in Cedar Park, TX, holding Series 63 and Series 66 credentials and 33 years of industry experience. He has been with Calton & Associates since 2013. Outside of his advisory role, he serves as a director on the board of the Metropolitan Breakfast Club, a networking organization featuring weekly speakers. Calton & Associates serves individual investors, retirement plans, trusts, estates, and other retail clients by providing portfolio management, fee-based financial planning, retirement plan consulting, and access to third-party money managers. The firm offers multiple program structures and combines discretionary and non-discretionary management options, alongside commissionable brokerage and insurance products through its dual registration as both a registered investment adviser and broker-dealer.
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