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Robert Kozlowski

Calton & Associates, INC.
49 Years of Experience
Tempe, AZ
1 DisclosureBroker
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Robert Kozlowski is a registered investment advisor at Calton & Associates, INC., based in Tempe, AZ, with 49 years of industry experience. Robert is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Alternative Investments, Education Planning, Estate Planning, Financial Planning & Coaching, and 5 more. Their firm serves 5,283 clients with $1.6B in assets under management.

Calton & Associates, INC.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
229 advisors
Number of Clients
5,283 clients
Average Client Portfolio
$298K average
Assets Under Management
$1.6B

Fee Structure

Minimum Investment:$50K
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.60%

Fees are up to 2.60% and may be negotiable depending on the client, representative, and program selected.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
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Location

Tempe, AZ

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History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Employment Separation After Allegations
January 1985
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Other Business Activities

Robert works as a tour guide for Valor Tours, a military history tour company, since 2014. He dedicates minimal time to this non-investment related activity.

Employment History
Current Registrations
Calton & Associates, INC.
August 2013 - Present · 13 yrs 2 mos
Calton & Associates, INC.
April 1994 - Present · 32 yrs 6 mos
Calton & Associates, INC.Broker
April 1994 - Present · 32 yrs 6 mos
Previous Registrations
Smith Barney Shearson INC.Broker
September 1985 - April 1994 · 8 yrs 7 mos
E. F. Hutton & Company INCBroker
April 1983 - September 1985 · 2 yrs 5 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
September 1978 - April 1983 · 4 yrs 7 mos
Merrill Lynch, Pierce, Fenner & Smith, INC.Broker
July 1977 - September 1978 · 1 yr 2 mos
State Registrations13 states
AZCACODCFLILMTNVOHORTXVAWA
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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