CALDWELL ADVISORS, LLC
Adviser information for CALDWELL ADVISORS, LLC last updated from Form ADV on March 15th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Tennessee, United States |
Employees
| Total Number of Employees | 8 |
|---|---|
| Investment Advisory/Research | 6 |
| Registered Broker-Dealer Representatives | 7 |
| Registered State Investment Advisers | 6 |
| Licensed Agents of an Insurance Company | 6 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 1,019 | $316.0M |
| Non-Discretionary | 13 | $6.8M |
| Total | 1,032 | $322.7M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 542 | $113.1M |
| HNW Individuals | 155 | $197.1M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 7 | $9.5M |
| Charitable organizations | <5 | $215,418 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | <5 | $2.8M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting servicesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
| Other Business Activities | Registered representative of a broker-dealerInsurance broker or agent |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 59.2M |
| Portfolio Manager | 9.5M |
| Both for Same | 251.0M |
| Portfolio Manager to Program | Sponsor |
|---|---|
| CALDWELL ADVISORS MANAGED STRATEGIES | CALDWELL ADVISORS, LLC |
Identifiers
| SEC RIA File Number | 801-106730 |
|---|---|
| SEC ERA File Number | 801-106730 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 144408 |
| Legal Entity Identifier | None |
Principal Office
5210 MARYLAND WAYSTE 202
BRENTWOOD
TN
United States
Monday - Friday, 8:30 AM - 4:30 PM
Tel: 615-370-8988, Fax: 615-370-8989
Chief Compliance Officer
NATASHA SMITH
MEMBER
5210 MARYLAND WAY
SUITE 202
BRENTWOOD
TN
United States
Tel:
615-370-8988
Fax:
615-370-8989
N*****@*******************M
(Full email address available in API data)
Regulatory Contact
BILLY RAY CALDWELL, JR
MEMBER
5210 MARYLAND WAY
SUITE 202
BRENTWOOD
TN
United States
Tel:
615-370-8988
Fax:
615-370-8989
B********@*******************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| CALDWELL, BILLY, RAY | Individual | – | MEMBER | 06/2007 | > 75% |
| SMITH, NATASHA, LEE | Individual | – | CHIEF COMPLIANCE OFFICER | 09/2022 | < 5% |