Data / Investment advisers / Tennessee / Caldwell Advisors, LLC
Caldwell Advisors, LLC, Brentwood, TN: $351 million AUM, SEC registered investment adviser
Updated November 7, 2026. Source: the SEC's Form ADV data files for investment advisers.
Caldwell Advisors, LLC is an SEC registered investment adviser with its main office in Brentwood, Tennessee and reports $351 million in regulatory assets under management in its Form ADV filed April 7, 2026. Its clients include high net worth individuals, individuals and corporations and other businesses. It is paid through a percentage of assets under management, hourly charges and fixed fees.
The request: Watch Caldwell Advisors, LLC (CRD number 144408): each new Form ADV amendment, with AUM, clients and private funds. $10 of work on sign-up, no card.
SpecStream is the live web data engine for teams and agents. It reads the SEC's Form ADV files every month, and this page is that reading, keyed on the CRD number. Ask for the advisers you track by state, city, size, client type or private funds, and new registrations and filings arrive in your sheet, CRM, Slack or agent as the SEC publishes them.
- Registration
- SEC registered investment adviser
- CRD number
- 144408
- SEC file number
- 801-106730
- SEC status
- Approved, effective November 18, 2015
- Main office
- 5210 Maryland Way Ste 202, Brentwood, TN 37027
- Phone
- (615) 370-8988
- Regulatory AUM
- $351,404,599 in the Form ADV filed April 7, 2026
- Discretionary AUM
- $344,235,754
- Non discretionary AUM
- $7,168,845
- Accounts
- 1,016
- Employees
- 8, of which 5 give investment advice
- Form of organization
- Limited Liability Company
- Paid through
- a percentage of assets under management, hourly charges, fixed fees
- Other offices
- 1
- Form ADV Item 11 disclosures
- None reported
- Latest Form ADV filing
- April 7, 2026
- SEC record
- Investment Adviser Public Disclosure
Clients
Client types the adviser reports in Form ADV item 5.D, with the AUM it attributes to each.
| Client type | Clients | AUM |
|---|---|---|
| High net worth individuals | 250 | $244 million |
| Individuals (other than high net worth individuals) | 249 | $97.4 million |
| Corporations or other businesses | Fewer than 5 | $3 million |
| Charitable organizations | Fewer than 5 | $307,867 |
| Pension and profit sharing plans | Fewer than 5 | $155,105 |
AUM in the SEC's monthly files
Each change in the AUM the adviser reported across the monthly SEC files held here, with the first file that shows the new value.
| First in the file of | AUM | Form ADV filed |
|---|---|---|
| April 1, 2026 | $351.4 million | March 29, 2026 |
| December 1, 2025 | $339.1 million | July 30, 2025 |
Other advisers in Brentwood
| Adviser | City | AUM | Private funds | Source |
|---|---|---|---|---|
| Seven Springs Wealth Group | Brentwood | $1.41 billion | Not listed | adviserinfo.sec.gov |
| Virtue Capital Management, LLC | Brentwood | $1.31 billion | Not listed | adviserinfo.sec.gov |
| Tranquility Partners, LLC | Brentwood | $960 million | Not listed | adviserinfo.sec.gov |
| Provident Wealth Management, LLC | Brentwood | $758.5 million | Not listed | adviserinfo.sec.gov |
| Pharos Capital Group, LLC | Brentwood | $629.6 million | 6 | adviserinfo.sec.gov |
| Luken Investment Analytics, LLC | Brentwood | $292.2 million | Not listed | adviserinfo.sec.gov |
| Cove Capital Management Inc. | Brentwood | $247.5 million | Not listed | adviserinfo.sec.gov |
| Erisa Advisers, Inc. | Brentwood | $187.1 million | Not listed | adviserinfo.sec.gov |
Also on SpecStream
- Investment advisers in Brentwood, TN
- Investment advisers in Tennessee
- Advisers with $100 million to $500 million in AUM
- Advisers serving high net worth individuals
- Advisers serving individuals
- Caldwell Advisors, LLC on the SEC's adviser search
Public data published by the US Securities and Exchange Commission (US government work). Advisers report these values themselves in Form ADV, and neither the SEC nor the states approve or guarantee them. AUM is regulatory assets under management as the adviser reported it in Form ADV item 5.F, which can differ from the AUM a firm quotes elsewhere. Exempt reporting advisers do not report AUM. Office address, phone and website are the adviser's main office as filed; a firm that files its main office as a private residence shows no street address or phone. An Item 11 disclosure is a reported event, not a finding about the firm today. Details for each firm are on the SEC's Investment Adviser Public Disclosure site. This page uses SEC data and is not endorsed or certified by the SEC. Free to reuse with credit to SpecStream under CC BY 4.0. Spot a wrong value? Write to [email protected] with the link to this page.