Garton And Associates Financial Advisors Llc
- Regulatory AUM
- $215M
- Discretionary
- $168M
- Clients
- 369
- Avg AUM / client
- $584K
- Accounts
- 369
- Employees
- 10
AUM over time
Annual snapshots from Form ADV filings · as of Mar 25, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 310 | $72.7M | 33.7% |
| High net worth individuals | 43 | $111M | 51.3% |
| Pension and profit sharing plans | 8 | $25.0M | 11.6% |
| Charitable organizations | 4 | $7.1M | 3.3% |
| Corporations and other businesses | 4 | $31.7K | 0.01% |
People (6)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Donald Lee Garton | Managing Partner, Chief Compliance Officer | CFP Chartered Financial Consultant | Dec 2004 (22y) | 75% or more |
| Mounce, Kathleen | Partner | Nov 2005 (21y) | 5% – 10% | |
| Michael Joseph Garton | Part Owner | Jan 2020 (7y) | Less than 5% | |
| William Thomas Fowler | Registered representative | Nov 2020 (6y) | ||
| Lisa Carol Heffley | Registered representative | Chartered Financial Consultant | Feb 2025 (1y) | |
| Michael Alexander Cole | Registered representative | Jun 2025 (1y) |
Undisclosed: 0% – 20% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/25/2026 | 1000 KB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for pooled investment vehicles
- • Pension consulting services
Custody
Reported custodians
- Charles Schwab & Co. $159M (74% of AUM) Mar 2026
- Nationwide Investment Services Corporation $18.3M (8% of AUM) Mar 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 25, 2026.
View current Form ADV (SEC/IAPD) ↗