Billy Ray Caldwell

Caldwell Advisors, LLC

33 Years of Experience

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Firm Information

Caldwell Advisors, LLC

Compensation

Fee-Only (AUM)Fixed/Hourly

Number of Advisors

5 advisors

Number of Clients

491 clients

Average Client Portfolio

$691K average

Assets Under Management

$339.1M

Fee Structure

Minimum Investment:$750K

AUM-Based Fees (Tiered)

Assets Under Management	Annual Fee
Up to $1.0M	2.75%
$1.0M - $5.0M	2.00%
$5M+	1.25%

Fees may be negotiable under certain circumstances, but will never exceed 2.75%.

Fee Estimator

Your Portfolio Value

$500K

$0$500K$1M$5M$20M

Estimated Annual Fee

—

You'll pay an annual fee based on the amount of assets Caldwell Advisors manages for you. The fee is up to 2.75% on the first $1,000,000, up to 2.00% on the next $4,000,000 (between $1,000,001 and $5,000,000), and up to 1.25% on amounts over $5,000,001. Fees may be negotiable under certain circumstances, but will never exceed 2.75%.

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Areas of Practice

Investment ManagementRetirement Planning

Advisor Information

Office location

5210 Maryland Way, Ste 202, Brentwood, TN, 37027

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Regulatory History (1)

What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.

Customer Dispute

January 1999

Denied

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Other Business ActivitiesSells Insurance

Billy is a registered investment advisor and offers long-term care (LTC), GUL, and term insurance through various entities, taking about a quarter of his time. He also co-owns a hunt club, dedicating minimal time to it.