Caton Financial, Inc. (San Rafael)

Caton Financial, Inc. is a large advisory firm based in San Rafael. It manages $139.16 million of regulatory assets for 343 client accounts. It has been registered with the SEC as an adviser since 2007 and has operated in the jurisdictions of California, Louisiana, and Texas.

Caton Financial provides financial planning services, portfolio management for individuals and small businesses, and selection of other advisers. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Caton Financial: assets under management

The assets under management (AUM) of Caton Financial, Inc. is $139.16 million. The firm's AUM has grown by 33% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Caton Financial, Inc. for their services and products based on a percentage of assets under management, hourly charges, and fixed fees. Hourly charges are usually charged for consulting work and special projects. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at Caton Financial, Inc.

Nancy Kay Caton has been acting as President since 1 Oct 1987. Jodi Lynn Johnson joined the executive team most recently as the Secretary.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Nancy Kay Caton	President/chief compliance officer	1 Oct 1987	75% - 100%	1159536
Jodi Lynn Johnson	Secretary	1 Jan 2007	Other	2277279

Based in San Rafael

The principal office where Caton Financial, Inc. performs its advisory services is located at 2350 Kerner Boulevard, San Rafael, CA 94901, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.