Caldwell Advisors, LLC logo

Caldwell Advisors, LLC

Updated today

Total assets under management

$351,404,599

Total clients

499

50% high-net worth

Total advisors

6

of 8 employees

Firm size

Team

4-10 advisors or $500M+ in AUM

Average clients per advisor

83

Average account size

$704,218

About

Caldwell Advisors, LLC provides discretionary and non‑discretionary investment management and financial planning to individuals (including high‑net‑worth clients) as well as institutions such as pension and profit‑sharing plans, trusts, and charitable organizations. The firm manages roughly $351 million across about 499 client relationships and also offers administrative support and the option to engage sub‑advisors for specialized mandates.

The firm combines fundamental and technical analysis across mutual funds, individual equities and fixed income, as well as non‑traded securities and annuities, tailoring asset allocation to each client’s objectives and risk tolerance while observing a fiduciary standard. Caldwell typically seeks substantial account size for acceptance but will consider smaller relationships, and it provides both ongoing discretionary authority and consultative, non‑discretionary advice.

Distinctively for a team‑based registered adviser, several of the firm’s investment adviser representatives are also registered representatives of a broker‑dealer and hold insurance licenses, and the firm sponsors wrap fee programs; these arrangements mean advisors may, in separate capacities, effect commissionable transactions or insurance sales even though the firm’s revenue is generated primarily from advisory and planning fees. The firm also uses custodial/clearing relationships and may consolidate billing when using sub‑advisors, creating a mix of service and compensation channels clients should consider when comparing providers.

Client services

Financial planning Portfolio management Pension consulting Selection of other advisers

Expertise

Annuities

Fee options

Percentage

$0 - $1,000,000: up to 2.75% $1,000,001 - $5,000,000: up to 2.00% $5,000,001+: up to 1.25%

Commissions

Registered Representatives may receive commissions on trades outside advisory services, but not on advisory accounts

Project-based

Fees for Financial Planning & Consulting may vary; specifics not stated

Other

Account minimum: $750,000 Fee-only: Advisory and planning services fees; no commissions on advisory accounts

Main office location

Caldwell Advisors, LLC

5210 Maryland Way, Ste 202

Brentwood TN 37027, United States

Number of offices

2

Most active in

Alabama · Arkansas · California · Florida · Georgia · Mississippi · New York · Tennessee · Texas

Disclosures

Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.

Business activities & affiliations

Warmer team member

Not sure where to start?

We'll help you think it through – whether you ultimately need an advisor or not.

Call (201) 292-4557

Warmer provides personalized recommendations and introductions to independent fiduciary advisors. We do not supervise advisors, manage or hold assets, guarantee performance, or provide advice about specific investments.

Each advisor listed on our site is an independent fiduciary responsible for their own advice. Warmer may receive fees from advisors for participation or referrals; these fees are paid by advisors and do not affect the fees clients pay for advisory services.

For advisor listings, we rely on sources including public filings and data provided by advisors, and we cannot guarantee that all information is current or accurate. Please review an advisor's Form ADV and do your own diligence before entering into an advisory relationship.

By using our service, you agree to Warmer's Terms of Service and Advisory Agreement and Privacy Policy. Logos provided by Logo.dev

© 2026 Warmer Holdings Inc. ("Warmer")