Firm Information
Compensation
Number of Advisors
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Caldwell's advisory fee is negotiable, but will not exceed 1.5%. The annual portfolio management fee is billed and payable quarterly in advance. The fee for CS Value strategy varies based on asset class: 0.5% for fixed income and limited partnerships, 1% for ETFs and closed-end funds, and 1.5% for individually researched equities. The fee for CS Strategic Diversified ranges from 0.15% to 1.5% annually. Existing client accounts may have a different fee schedule. There is no hard minimum to opening an account.
Areas of Practice
Advisor Information
Office location
Altadena, CA
Get directionsRegulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business Activities
Joseph is compensated for being a director of Crazy Woman Creek Bancorp, the bank holding company of Buffalo Federal Bank, since January 2015. He dedicates a few hours per week to this activity, serving on the audit committee.