A complete list of active advisors currently associated with Caldwell Advisors, LLC

Warmer can help you find a great advisor at Caldwell Advisors, LLC or one who fits your needs even better.

Caldwell Advisors provides discretionary and non‑discretionary portfolio management and financial planning to individuals (including high‑net‑worth clients) as well as institutional clients such as corporate pension and profit‑sharing plans, trusts, and foundations. The firm offers continuous investment advice, administrative services (including trade placement and recordkeeping), and financial planning on hourly, fixed‑fee, or ongoing bases, and generally expects combined assets of about $750,000 to establish a managed relationship, with exceptions possible. The firm combines fundamental and technical analysis and employs strategies including asset allocation, dollar‑cost averaging, and both long‑ and short‑term purchases across mutual funds, individual equities and fixed income, and it may allocate portions of portfolios to sub‑advisors via the LPL custodial platform for specialized mandates. Caldwell states it acts as a fiduciary, conducts annual reviews and ongoing client communication, and highlights tax considerations and the range of investment risks in its client discussions. Notably, Caldwell’s investment adviser representatives may also serve in securities and insurance capacities: they can be registered representatives of LPL Financial and be licensed insurance agents and, in those separate roles, may receive commissions, while the firm reports that its corporate revenue is generated by advisory and planning fees. The firm also sponsors and recommends Wrap Fee Program accounts (executed through LPL) and discloses that it may collect total fees and remit portions to sub‑advisors, arrangements that can influence brokerage relationships and platform availability.

To learn more about the advisors currently working at Caldwell Advisors, LLC, click on their names below to view their profiles, or click here to see them all on a map. Or, if you tell us about your needs, Warmer can help you find the best advisor for you.