CALDWELL ADVISORS, LLC

Overview

Caldwell Advisors, LLC is an independent, individually owned registered investment adviser that has been SEC-registered since 2015. The firm serves primarily individual and family clients and positions itself as a capital allocator, combining fee-based financial planning with discretionary portfolio management and advisory services for small businesses and institutions. Caldwell Advisors offers multiple fee arrangements — percentage of assets under management, hourly, and fixed fees — and also performs selection-of-other-advisers work, which supports its role directing capital to third-party managers when appropriate. The firm operates as a registered representative of a broker-dealer and as an insurance broker. That dual affiliation expands its product shelf and distribution capabilities, and helps explain the firm’s use of annuities alongside mutual funds and separately managed accounts. Caldwell Advisors does not identify as an active ESG investor, and it reports advisory services that include financial planning, portfolio management for both individuals and businesses, and pension-related consulting support.

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Location & Offices