Caldwell Investment Services LLC

Overview

Caldwell Investment Services LLC is an independent registered investment adviser structured as an LLC that appears to serve individual and family clients. Its advisory work centers on financial planning and portfolio management for individuals and small businesses. The firm bills using a mix of percentage-of-AUM, hourly, and fixed fees rather than relying on commissions. Caldwell does not identify as an active ESG investor and is not presented as a multi-state or pension consultant adviser. The business is very small by scale and appears owner-operated rather than a multi-adviser platform. Service focus and product choices (mutual funds, equities and third-party alternatives) suggest a traditional wealth-management posture tailored to a single-household or very small client base. The firm reports maintaining multiple office locations despite the limited asset base.

Assets & Accounts

Public Holdings

Investments & Alternatives