{"url":"https://nivawealth.com/firms/caldwell-advisors-144408","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/144408","regulatoryAum":351404599,"crd":"144408","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"2183471","suffix":"JR","lastName":"CALDWELL","firstName":"BILLY","middleName":"RAY"},{"crd":"6341330","suffix":null,"lastName":"CALDWELL","firstName":"COLIN","middleName":"T"},{"crd":"4833572","suffix":null,"lastName":"DAVIS","firstName":"BEVERLY","middleName":"OGLES"},{"crd":"5870995","suffix":null,"lastName":"LONDON","firstName":"BENTLEY","middleName":"YEISER"},{"crd":"4904878","suffix":null,"lastName":"ZAUNER","firstName":"AARON","middleName":"ALAN"}],"total":5,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2021-05-27","regulatoryAum":276184296,"clients":588,"employees":10,"offices":3},{"filedOn":"2022-03-31","regulatoryAum":232609171,"clients":497,"employees":9,"offices":3},{"filedOn":"2023-03-30","regulatoryAum":279123478,"clients":725,"employees":9,"offices":4},{"filedOn":"2024-03-15","regulatoryAum":322739217,"clients":704,"employees":8,"offices":4},{"filedOn":"2025-07-30","regulatoryAum":339088296,"clients":491,"employees":8,"offices":2},{"filedOn":"2026-04-07","regulatoryAum":351404599,"clients":506,"employees":8,"offices":2}],"secFileNumber":"801-106730","legalName":"Caldwell Advisors, LLC","displayName":"Caldwell Advisors","slug":"caldwell-advisors-144408","website":"https://caldwellgroupllc.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"linkedinUrl":"HTTPS://WWW.Linkedin.com/company/27111136","xUrl":"https://twitter.com/caldwellgroup","founded":null,"organization":"Tennessee limited liability company","fiscalYearEnd":"December","headquarters":{"street":"5210 Maryland Way, Ste 202","city":"Brentwood","state":"TN","stateName":"Tennessee","country":"United States","postalCode":"37027"},"tradeNames":["Aaron Zauner","Bentley London","Beverly O. 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They include 250 high-net-worth individuals, 249 individual clients and 7 other clients.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 7 April 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Caldwell Advisors offer?","answer":"Caldwell Advisors provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, pension consulting, and selecting other managers.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does Caldwell Advisors charge?","answer":"Caldwell Advisors charges up to 2.75% a year for its Investment Management Agreement. The fee is billed in advance, is negotiable and requires an account of at least $750,000.","source":"CALDWELL ADV 2A, filed 7 April 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Caldwell Advisors use?","answer":"Caldwell Advisors’ separately managed account assets are held at LPL Financial LLC (San Diego, CA), with $345M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 7 April 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Caldwell Advisors have?","answer":"Caldwell Advisors has 5 investment adviser representatives registered with state securities authorities, out of 8 employees, and 5 perform investment advisory functions. 6 employees are registered representatives of a broker-dealer and 5 employees are licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Caldwell Advisors invest in?","answer":"At the end of its last fiscal year, Caldwell Advisors’ separately managed accounts held 68% registered funds (mutual funds, ETFs, BDCs), 23% exchange-traded equities, 8% cash and equivalents and 1% other. The 1% other category is described as: Alternative Investments, Annuities.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Does Caldwell Advisors have a minimum investment?","answer":"Yes, Caldwell Advisors’ minimum account size for its Investment Management Agreement is $750K.","source":"CALDWELL ADV 2A, filed 7 April 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Who owns Caldwell Advisors?","answer":"Caldwell Advisors’ direct owner is Billy Caldwell (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 7 April 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Caldwell Advisors get paid?","answer":"Caldwell Advisors is paid through a percentage of assets under management, hourly charges and fixed fees. Its Form ADV lists no commissions or performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Caldwell Advisors?","answer":"Caldwell Advisors’ main office is at 5210 Maryland Way, Ste 202, Brentwood, TN 37027. Its phone number is 615-370-8988. Its website is caldwellgroupllc.com.","source":"Form ADV Part 1A, Item 1.F, filed 7 April 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}