CALDERWOOD FINANCIAL STRATEGIES, INC.
Adviser information for CALDERWOOD FINANCIAL STRATEGIES, INC. last updated from Form ADV on March 4th, 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 | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Texas, United States |
Employees
| Total Number of Employees | 1 |
|---|---|
| Investment Advisory/Research | 1 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 1 |
| Licensed Agents of an Insurance Company | 1 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 0 | $0 |
| Non-Discretionary | 65 | $182.5M |
| Total | 65 | $182.5M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 21 | $3.8M |
| HNW Individuals | 22 | $25.0M |
| 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 | 21 | $153.7M |
| Charitable organizations | 0 | $0 |
| 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 | $4,673 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPension consulting servicesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUM |
| Other Business Activities | Insurance broker or agent |
Identifiers
| SEC RIA File Number | 801-120801 |
|---|---|
| SEC ERA File Number | 801-120801 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 313466 |
| Legal Entity Identifier | None |
Principal Office
510 BERING DRIVESUITE 540
HOUSTON
TX
United States
APPOINTMENT ONLY, APPOINTMENT ONLY
Tel: 832-821-2462, Fax: 832-538-1107
Websites
Chief Compliance Officer
CHARLES A. CALDERWOOD
PRESIDENT
510 BERING DRIVE
SUITE 540
HOUSTON
TX
United States
Tel:
713-808-9077
C******@**********************M
(Full email address available in API data)
Regulatory Contact
IVAN BARRETTO
CONSULTANT
13359 NORTH HIGHWAY 183
SUITE 406-649
AUSTIN
TX
United States
Tel:
8337422246
I***@*******O
(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 |
|---|---|---|---|---|---|
| CALDERWOOD, CHARLES ANDREW | Individual | – | CCO | 07/2021 | > 75% |