Caldwell Investment Services LLC

Caldwell Investment Services LLC provides ongoing portfolio management and financial planning to individuals, high‑net‑worth individuals, and charitable organizations, documenting client objectives in an Investment Policy Statement and conducting regular portfolio monitoring. The firm reports roughly $35,000 in discretionary assets under management and currently serves a single client.

The adviser employs fundamental analysis and modern portfolio theory to set asset allocation and select investments, and typically seeks discretionary authority to execute trades without prior client approval. CISL’s investment set includes mutual funds, equities, ETFs, fixed income, REITs and venture capital funds, and the firm uses both long‑ and short‑term trading as well as margin, short sales and options strategies (including uncovered options).

Distinctive aspects for a solo, small‑asset adviser include the combination of modest reported AUM and the use of higher‑risk trading techniques, along with a firm policy that clients may not impose investment restrictions based on personal values or beliefs. The firm requires client custody at Schwab Institutional or Fidelity (and discloses receipt of custodial research/soft‑dollar benefits) and notes an outside business activity as a non‑employee instructor of financial training, averaging about five hours per week.