Caldwell Advisors, Llc
- Regulatory AUM
- $351M
- Discretionary
- $344M
- Clients
- 506
- Avg AUM / client
- $694K
- Accounts
- 1,016
- Employees
- 8
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Apr 07, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 249 | $97.4M | 27.7% |
| High net worth individuals | 250 | $244M | 69.4% |
| Pension and profit sharing plans | Fewer than 5 clients | $155K | 0.04% |
| Charitable organizations | Fewer than 5 clients | $308K | 0.09% |
| Corporations and other businesses | Fewer than 5 clients | $3.0M | 0.86% |
| Other | 7 | $6.5M | 1.84% |
People (7)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Billy Ray Caldwell | Member | Jun 2007 (19y) | 75% or more | |
| Smith, Natasha, Lee | Chief Compliance Officer | Sep 2022 (4y) | Less than 5% | |
| Beverly Ogles Davis | Registered representative | Jun 2015 (11y) | ||
| Bentley Yeiser London | Registered representative | Sep 2018 (8y) | ||
| Aaron Alan Zauner | Registered representative | May 2021 (5y) | ||
| Colin T Caldwell | Registered representative | May 2025 (1y) | ||
| David M Dorsett | Registered representative | Mar 2026 (0y) |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 04/07/2026 | 992 KB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
- • Pension consulting services
- • Selection of other advisers
Custody
Reported custodians
- LPL Financial $345M (98% of AUM) Apr 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Apr 07, 2026.
View current Form ADV (SEC/IAPD) ↗