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Firm profile

Caldwell Advisors, LLC

BRENTWOOD, TNCRD 144408Latest ADV April 7, 2026

Caldwell Advisors, LLC is an SEC registered investment adviser organized as a limited liability company with a primary office location in Brentwood, TN. Its latest Form ADV filing, dated April 7, 2026, reports $351M in regulatory assets under management, 8 employees, 1 office, and 1,016 accounts.

Assets Under Management
$351M
Employees
8
Offices
1 office
Total Clients
506
Primary office
BRENTWOOD, TN
5210 MARYLAND WAY, STE 202, BRENTWOOD, TN, United States
ADV Item 1F location record

Contact and digital presence

ADV profile links

Leadership

1 roles identified
CCONatasha L. Smith

Advisory services offered

5 types reported
Financial Planning Services
Pension consulting services
Portfolio management for businesses

Fee models offered

3 types reported
Asset based fees
Fixed fees
Hourly charges
Sources checked May 14, 2026

Client Coverage Demographics

Top client segmentHNWI represent 49.4% of total clients.
Top client categories% of clientsClients
1
HNWI
49.4%
250
2
Individuals
49.2%
249
3
401K
1.4%
7
Categories with <5 clients
Charitable Organizations<5 clients
Corporations or other businesses not listed above<5 clients
Pension and profit sharing plans<5 clients

Regulatory Assets Under Management Breakdown

Total regulatory assets under management$351Mas of April 7, 2026
Discretionary98.0%
$344M
98% of total RAUM98.0%
Non-discretionary2.0%
$7M
2% of total RAUM2.0%
Regulatory assets under management are split between discretionary and non-discretionary assets.

Assets under management Growth by Quarter

Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.

Total AUM$351M
Total Accounts1,016
10Y AUM Change+$190M (+117.9%)

Employee Growth by Quarter

Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.

Total Employees8
Clients per Employee63:1
10Y Employee Change+1 (+14.3%)

Historical AUM and employee figures reflect available SEC Form ADV filings under this CRD. Filing gaps may reflect registration status changes, dormant periods, state registration periods, firm restructuring, or other reporting changes. Rialytix does not interpolate missing periods.

* Metrics are based on the latest available data, including Form ADV filings, brochures, and relationship summaries pulled from the SEC IAPD, and may be subject to change. Learn what is included in the Rialytix data. Please refer to the firm's official disclosures for the most accurate information using their CRD number. This is not investment advice.