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CALDWELL ADVISORS, LLC

BRENTWOOD, TN · CRD 144408 · IAPD ↗ · 615-370-8988

$351.4MRegulatory AUM
5Advisory reps
8Employees
0Clients
0Planning clients
0Private funds
9States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

68
August 2025 — CALDWELL ADVISORS, LLC now reports custody of client assets ($104.4M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
45
April 2024 — CALDWELL ADVISORS, LLC notice-filed in CA.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.