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CALDWELL ADVISORS, LLC
CRD 144408File 801-106730
APPROVED
Retail clients
Custody
Filing as of Apr 7, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$351.4M
Below cohort median (national)
Discretionary AUM
$344.2M
Non-discretionary $7.2M
Clients
499
1,016 accounts
Employees
8
Below cohort median in TN
Identity & registration
ADV Item 1- Organization form
- Limited Liability Company
- Firm type
- Registered
- SEC region
- ARO
- Registration date
- Nov 18, 2015
- Principal office
- 5210 MARYLAND WAY, STE 202, BRENTWOOD, TN, 37027
- Phone
- 615-370-8988
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $351.4M
- Discretionary AUM
- $344.2M
- Non-discretionary AUM
- $7.2M
- Discretionary accounts
- 1,004
- Non-discretionary accounts
- 12
- Total accounts
- 1,016
- AUM per client
- $704K
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | Fewer than 5 | $3.0M |
| Charitable organizations | Fewer than 5 | $308K |
| High net worth individuals | 250 | $244.0M |
| Pension and profit sharing plans | Fewer than 5 | $155K |
| Individuals (other than high net worth individuals) | 249 | $97.4M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Fixed fees
- Hourly charges
- A percentage of assets under your management
Advisory activities
- Financial planning services
- Selection of other advisers
- Portfolio management for other
- Portfolio management for businesses
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- Yes
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- Yes
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11This firm answered no to every Item 11 disclosure question in this filing.
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Aug 17, 2026 | Clients | 506 | 499 | decreased by7 |
| Apr 1, 2026 | Clients | 491 | 506 | increased by15 |
| Apr 1, 2026 | AUM | $339,088,296 | $351,404,599 | increased by$12,316,303 |
| Apr 1, 2026 | Accounts | 493 | 1,016 | increased by523 |
| Dec 1, 2025 vs May 1, 2025 | Custody | No | Yes | |
| May 1, 2025 vs Oct 1, 2022 | Employees | 9 | 8 | decreased by1 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 497 | 491 | decreased by6 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $232,609,171 | $339,088,296 | increased by$106,479,125 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 835 | 493 | decreased by342 |
| Apr 1, 2022 | Clients | 588 | 497 | decreased by91 |
| Apr 1, 2022 | AUM | $276,184,296 | $232,609,171 | decreased by$43,575,125 |
| Apr 1, 2022 | Accounts | 917 | 835 | decreased by82 |
| Nov 1, 2021 | Employees | 10 | 9 | decreased by1 |
| Jun 1, 2021 | Employees | 9 | 10 | increased by1 |
| Apr 1, 2021 | Registration | — | APPROVED |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “CALDWELL ADVISORS” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“CALDWELL ADVISORS” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.