Caldwell Advisors, LLC (Brentwood)

Name: Caldwell Advisors, LLC
Address: 5210 Maryland Way, Brentwood, TN, 37027
Telephone: 615-370-8988

Caldwell Advisors, LLC is a large advisory firm based in Brentwood. It manages $202.8 million of regulatory assets for 479 client accounts. It has been registered with the SEC as an adviser since 2007 and has operated in the jurisdictions of Georgia, New York, Tennessee, and Texas.

Caldwell Advisors provides financial planning services, portfolio management for individuals and small businesses, portfolio management for businesses and institutional clients, pension consulting services, 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.

Caldwell Advisors: assets under management

The assets under management (AUM) of Caldwell Advisors, LLC is $202.8 million. The firm's AUM has grown by 416% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $186.32 million in discretionary accounts and $16.48 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $401.55 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $1.1 million.

Investments

The firm invests in pooled investment vehicles the most. They account for 50% of the total AUM. The second-largest asset type is exchange traded securities, which make up 40% of the firm’s portfolio. Investments in cash and cash equivalents form 5% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Caldwell Advisors, LLC for their services and products based on a percentage of assets under management, hourly charges, and fixed fees. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Caldwell Advisors serves?

The firm provides services to individuals, charitable organizations, high net worth individuals, corporations or other businesses, and pension and profit sharing plans. The largest group of clients of Caldwell Advisors is individuals with 445 clients and $127.95 million of assets under management. Among the 9 most similar advisory firms, Caldwell Advisors has the 3rd highest percentage of individuals out of all clients.

The amount of regulatory assets under management is $202.8 million for 479 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

Caldwell Advisors doesn't advise any private funds.

Careers at Caldwell Advisors, LLC

The company employs 6 people that are either part- or full-time employees. 83 percent of the employees work as investment advisers or researchers. 5 employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Billy Ray Caldwell	Member	1 Jun 2007	75% - 100%	2183471

Based in Brentwood

The principal office where Caldwell Advisors, LLC performs its advisory services is located at 5210 Maryland Way, Brentwood, TN 37027, which is also the mailing address of the firm. An additional office of the firm is in Nashville, TN. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 615-370-8988 or by fax 615-370-8989. The normal business hours are 8:00 am - 4:30 pm on Monday - Friday. You can find more information about the New York firm at schillingconsultants.com.