Hedge Fund Database

MONTAG & CALDWELL, LLC

Adviser information for MONTAG & CALDWELL, LLC last updated from Form ADV on March 26th, 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 Delaware, United States

Employees

Total Number of Employees 17
Investment Advisory/Research 8
Registered Broker-Dealer Representatives 0
Registered State Investment Advisers 5
Licensed Agents of an Insurance Company 0
No. of Firms/People that Solicit Clients 0

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 216 $683.5M
Non-Discretionary 0 $0
Total 216 $683.5M

Clients

Type Number RAUM
Individuals 82 $35.6M
HNW Individuals 99 $310.2M
Banking or thrift institutions 0 $0
Investment companies 0 $0
Business development companies 0 $0
Pooled investment vehicles 6 $55.3M
Pension and profit sharing plans 3 $134.0M
Charitable organizations 12 $107.6M
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 14 $40.7M
Other 0 $0
Type Number
No. of Non-RAUM Clients 5
No. of Non-U.S. Clients 0
No. of Financial Planning Clients 0

Services

Advisory Services Portfolio management for individuals and/or small businessesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clients
Compensation % of AUM

Wrap Fee Program

Offers Wrap Fee Program Yes
Acting As RAUM
Sponsor 0
Portfolio Manager 77.5M
Both for Same 0
Portfolio Manager to Program Sponsor
LOCKWOOD ADVISORS, INC. DUAL CONTRACT MANAGED ACCOUNT PROGRAM (PAS) CAPTRUST FINANCIAL ADVISORS
RAYMOND JAMES & ASSOCIATES, INC. ASSET MANAGEMENT SERVICES (AMS) RAYMOND JAMES & ASSOCIATES, INC.
SCHWAB MANAGED ACCOUNT SELECT AND MANAGED ACCOUNT ACCESS PROGRAM CHARLES SCHWAB & CO.
ENVESTNET ASSET MANAGEMENT, INC. SMA PROGRAM BALANCED ENVESTNET ASSET MANAGEMENT, INC.
WELLS FARGO ADVISORS PRIVATE ADVISOR NETWORK PROG (PAN) DUAL CONTRACT WELLS FARGO
MORGAN STANLEY DUAL CONTRACT VISION PROGRAM MORGAN STANLEY

Identifiers

SEC RIA File Number 801-15398
SEC ERA File Number 801-15398
SEC CIK Numbers 67698
SEC CRD Numbers 104841
Legal Entity Identifier None

Principal Office

3455 PEACHTREE RD NE STE 1500
ATLANTA
GA
United States
Monday - Friday, 9:00 AM -5:00 PM
Tel: 404-836-7100, Fax: 404-836-7192

Websites

www.montag.com twitter.com/montagcaldwell www.facebook.com/montagcaldwell www.instagram.com/montagandcaldwell/ www.youtube.com/channel/uc1ux_vjpao3vagptnt8jw-q/about www.linkedin.com/company/montag-&-caldwell

Chief Compliance Officer

KEISTER, REBECCA M
MANAGING PRINCIPAL/ CHIEF COMPLIANCE OFFICER
3455 PEACHTREE RD NE STE 1500
ATLANTA
GA
United States
Tel: 404-836-7141
Fax: 404-836-7192
(Full email address available in API data)

Regulatory Contact

JULIE CURLESS
PRINCIPAL
3455 PEACHTREE RD NE STE 1500
ATLANTA
GA
United States
Tel: 404-836-7146
Fax: 404-836-7192
(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
CANAKARIS, RONALD, EMMANUEL Individual – MANAGING PRINCIPAL 02/2023 25-50%
VOGEL, WILLIAM, ALAN Individual – MANAGING PRINCIPAL, PORTFOLIO MANAGER 02/2019 10-25%
KEISTER, REBECCA, MITCHELL Individual – MANAGING PRINCIPAL AND CHIEF COMPLIANCE OFFICER 02/2019 < 5%
BUNCH, JANET, BOUTIN Individual – MANAGING PRINCIPAL, PORTFOLIO MANAGER 08/2020 10-25%
MARKWALTER, CHARLES, EVERETT Individual – EXECUTIVE MANAGING PRINCIPAL AND CEO 11/2022 10-25%
THOMPSON, MICHAEL, SCOTT Individual – MANAGING PRINCIPAL AND CHIEF INVESTMENT OFFICER 11/2022 10-25%
FRANCIS, JAMES, MERLIN Individual – MANAGING PRINCIPAL AND DIRECTOR OF MARKETING 11/2022 5-10%
Thomas, Deborah, Jean Individual – PRINCIPAL, DIRECTOR OF OPERATIONS AND TRADING 08/2020 < 5%

No. Employees, Historic

30150201920202021202220232024202521 on 4/26/201921 on 10/21/201920 on 3/30/202020 on 6/30/202020 on 8/21/202020 on 11/19/202020 on 12/8/202018 on 3/30/202118 on 3/30/202218 on 3/31/202218 on 11/7/202219 on 3/31/202319 on 4/4/202317 on 3/22/202417 on 3/26/2024

RAUM, Historic

3B2B020192020202120222023202420252100413003 on 4/26/20192100413003 on 10/21/20192371339173 on 3/30/20202371339173 on 6/30/20202371339173 on 8/21/20202371339173 on 11/19/20202371339173 on 12/8/20202027656838 on 3/30/20211342301871 on 3/30/20221342301871 on 3/31/20221342301871 on 11/7/2022964633788 on 3/31/2023964633788 on 4/4/2023683499907 on 3/22/2024683499907 on 3/26/2024

No. Clients, Historic

50025002019202020212022202320242025439 on 4/26/2019439 on 10/21/2019275 on 3/30/2020275 on 6/30/2020275 on 8/21/2020275 on 11/19/2020275 on 12/8/2020189 on 3/30/2021218 on 3/30/2022218 on 3/31/2022218 on 11/7/2022228 on 3/31/2023228 on 4/4/2023216 on 3/22/2024216 on 3/26/2024

Holdings

From latest 13F, filed August 9th, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
ABBOTT LABS COM 14M 132K –
ABBVIE INC COM 623K 4K –
ACCENTURE PLC IRELAND SHS CLASS A 8M 26K –
ADOBE INC COM 13M 23K –
ALCON AG ORD SHS 1M 14K –
ALPHABET INC CAP STK CL A 32M 175K –
ALPHABET INC CAP STK CL C 1M 8K –
AMAZON COM INC COM 27M 138K –
AMETEK INC COM 1M 6K –
APPLE INC COM 24M 114K –
BROADCOM INC COM 239K 149 –
BROADRIDGE FINL SOLUTIONS IN COM 973K 5K –
CENCORA INC COM 358K 2K –
CHIPOTLE MEXICAN GRILL INC COM 10M 166K –
CHURCH and DWIGHT CO INC COM 4M 39K –
CISCO SYS INC COM 300K 6K –
COCA COLA CO COM 8M 128K –
COLGATE PALMOLIVE CO COM 247K 3K –
COPART INC COM 1M 24K –
CORPAY INC COM SHS 724K 3K –
COSTCO WHSL CORP NEW COM 1M 1K –
DOLLAR TREE INC COM 6M 54K –
EDWARDS LIFESCIENCES CORP COM 17M 185K –
ELECTRONIC ARTS INC COM 265K 2K –
ELI LILLY and CO COM 675K 746 –
EURONET WORLDWIDE INC COM 725K 7K –
EXXON MOBIL CORP COM 517K 4K –
FIVE BELOW INC COM 3M 32K –
FRANKLIN TEMPLETON ETF TR FRANKLIN INDIA 345K 9K –
GLOBAL PMTS INC COM 751K 8K –
GLOBUS MED INC CL A 1M 19K –
HOME DEPOT INC COM 1M 3K –
ICON PLC SHS 1M 4K –
INTERCONTINENTAL EXCHANGE IN COM 13M 97K –
INTUIT COM 20M 30K –
INVESCO EXCHANGE TRADED FD T SandP500 EQL WGT 897K 5K –
IQVIA HLDGS INC COM 11M 53K –
ISHARES TR EAFE GRWTH ETF 449K 4K –
ISHARES TR INTRM GOV CR ETF 2M 18K –
ISHARES TR MSCI EAFE ETF 902K 12K –
JOHNSON and JOHNSON COM 359K 2K –
LOWES COS INC COM 11M 50K –
MARVELL TECHNOLOGY INC COM 827K 12K –
MCDONALDS CORP COM 335K 1K –
META PLATFORMS INC CL A 824K 2K –
MICROSOFT CORP COM 35M 79K –
MONDELEZ INTL INC CL A 325K 5K –
MONSTER BEVERAGE CORP NEW COM 16M 317K –
NETFLIX INC COM 13M 19K –
NIKE INC CL B 3M 39K –
NVIDIA CORPORATION COM 23M 184K –
ORACLE CORP COM 457K 3K –
PALO ALTO NETWORKS INC COM 5M 16K –
PEPSICO INC COM 610K 4K –
PINTEREST INC CL A 1M 30K –
PRIMO WATER CORPORATION COM 1M 65K –
PROCTER AND GAMBLE CO COM 555K 3K –
QUALCOMM INC COM 506K 3K –
RAYMOND JAMES FINL INC COM 1M 10K –
SandP GLOBAL INC COM 16M 35K –
SCHWAB CHARLES CORP COM 12M 157K –
SCHWAB STRATEGIC TR US LCAP VA ETF 819K 11K –
SCHWAB STRATEGIC TR US LCAP GR ETF 2M 23K –
SCHWAB STRATEGIC TR US DIVIDEND EQ 320K 4K –
SELECT SECTOR SPDR TR SBI HEALTHCARE 592K 4K –
SELECT SECTOR SPDR TR INDL 240K 2K –
SERVICENOW INC COM 9M 12K –
SHERWIN WILLIAMS CO COM 4M 14K –
STRYKER CORPORATION COM 15M 45K –
TAKE-TWO INTERACTIVE SOFTWAR COM 16M 100K –
TE CONNECTIVITY LTD SHS 1M 7K –
THERMO FISHER SCIENTIFIC INC COM 9M 17K –
TJX COS INC NEW COM 911K 8K –
TRANSUNION COM 1M 14K –
TRUIST FINL CORP COM 566K 15K –
UBER TECHNOLOGIES INC COM 9M 130K –
UNITEDHEALTH GROUP INC COM 9M 17K –
VANGUARD BD INDEX FDS LONG TERM BOND 212K 3K –
VANGUARD INDEX FDS SMALL CP ETF 800K 4K –
VEEVA SYS INC CL A COM 621K 3K –
VISA INC COM CL A 17M 66K –
WALMART INC COM 203K 3K –
WEX INC COM 895K 5K –
WORKDAY INC CL A 1M 5K –
ZOETIS INC CL A 21M 124K –