Caldwell Group

What Caldwell Group does

Caldwell Group, LLC (operating alongside its registered investment advisor subsidiary, Caldwell Advisors, LLC) is a privately held, founder-led financial advisory firm headquartered at 5210 Maryland Way, Suite 202, Brentwood, Tennessee. Founded in 1991 by Billy Ray Caldwell Jr. — who remains President — the firm employs roughly seven professionals offering a comprehensive wealth management suite: investment services (bonds, common stock, IRAs, brokerage accounts, Treasury securities, variable annuities), financial planning (retirement, tax, estate, college, and business retirement plans), insurance (life, disability, long-term care), and tax/estate planning strategies. Securities transactions are executed through a core affiliation with LPL Financial, the nation's largest independent broker-dealer, which provides clearing, compliance, technology infrastructure, and research access; the firm is licensed to discuss and transact securities business with residents of 28 U.S. states. Digital touchpoints include an extensive resource center (50+ educational articles, 16 calculators, video library), a 200+ term financial glossary, a tax resources hub, and LPL's Guided Wealth Portfolio platform for account access and portfolio management. There is no proprietary technology stack.

The business model is a traditional fee- and commission-based financial advisory practice: revenue is generated through advisory fees on assets under management via Caldwell Advisors, LLC (Registered Investment Advisor) and commissions on securities transactions facilitated through LPL Financial. Pricing is not publicly disclosed and is set on a quote-based, personalized basis per client engagement. Go-to-market is sales-led and primarily direct — face-to-face and remote advisory engagements from the Brentwood office — supplemented by an affiliated-advisor channel (e.g., Beverly O. Davis, affiliated since July 2015) who operate under the Caldwell Advisors, LLC RIA umbrella. Customer acquisition leans on personal networks, professional referrals, and content marketing (organic social on Facebook, Twitter, LinkedIn; email newsletter). The primary customer segment is individuals, families, and small business owners seeking personalized wealth management and retirement planning; a secondary segment comprises independent financial advisors seeking practice transition support and ongoing compliance oversight. Ownership is founder-controlled with no disclosed institutional or PE investment.

Name

Caldwell Group

Legal name

Caldwell Advisors, LLC / Caldwell Group, LLC

Website

https://caldwellgroupllc.com

Company type

Private

Founded year

1991

Operating status

Operating

Headcount range

1–10 employees

Short description

Caldwell Group, LLC is a privately held, founder-led financial advisory firm in Brentwood, Tennessee providing wealth management, financial planning, insurance, and tax planning services to individuals, families, and small businesses across 28 U.S. states through its RIA, Caldwell Advisors, LLC, and an LPL Financial broker-dealer affiliation.

Ownership category

akta.pro rank

Product category

Wealth Management

NAICS

Portfolio Management and Investment Advice (523940), Portfolio Management and Investment Advice (52394)

SIC

Investment Advice (6282)

akta.pro primary industry

Discretionary Portfolio Management (Retail) (FSAAAAAH)

akta.pro secondary industry

Broker-Dealer Affiliated Wealth Advisory (FSAEABAB)

Keywords

• Wealth management services
• Financial planning advisory
• Investment advisory services
• Retirement planning services
• Tax planning strategies

Headquarters

HQ city

Brentwood

HQ country

United States

HQ region

North America

Offices1 record

Markets served

GTM type

B2C

Offering type

Services

Cost components

Personnel, Operations, Marketing or Sales, Technology or R&D, Infrastructure

Revenue model

1. Financial Advisory Services: Wealth management and financial advisory services through Caldwell Advisors, LLC, a Registered Investment Advisor. Services include investment management, retirement planning, estate planning, tax planning, and insurance. Revenue is generated through advisory fees and commissions on securities transactions facilitated through the LPL Financial relationship.

Pricing tiers

Go-to-market motion1 record

Distribution channels2 records

Marketing channels4 records

Core offering

Caldwell Group provides personalized wealth management and financial advisory services to individuals, families, and small business owners through its Registered Investment Advisor, Caldwell Advisors, LLC. Core offerings encompass investment services (bonds, stocks, IRAs, brokerage accounts, annuities), comprehensive financial planning (retirement, tax, estate, college, business), insurance solutions (life, disability, long-term care), and tax planning strategies. Securities transactions are facilitated through a broker-dealer relationship with LPL Financial.

Product overview

Caldwell Advisors, LLC / Caldwell Group, LLC is a financial advisory firm that offers a comprehensive suite of wealth management services. The core offering is Family Wealth Management, which encompasses investment services (bonds, stocks, IRAs, brokerage accounts, variable annuities), financial planning (retirement, tax, estate, and business planning), insurance services (life, disability, long-term-care), and tax planning strategies. The firm provides digital tools including financial calculators, a glossary with over 200 financial terms, and a tax resources center. Securities are offered through LPL Financial, and advisory services are provided through Caldwell Advisors, LLC, a Registered Investment Advisor.

Differentiator

Problem solved

Functional benefit

Products and services

• Investments Services Comprehensive investment services including bonds, common stock, IRAs (Traditional, Roth, SEP, Simple, Educational), brokerage accounts, Treasury securities, and variable annuities for individuals, families, and small business owners.
• Financial Planning Services Holistic financial planning covering retirement plans, tax plans, 401(k) and 403(b) planning, college savings plans, estate plans, and business retirement plans including money purchase and profit sharing plans.
• Insurance Services Risk management and insurance solutions including disability income insurance, life insurance, and long-term-care insurance for individuals and families.
• Tax Planning Services Tax-efficient wealth management strategies including intergenerational asset transfers, charitable planning, and estate tax planning for individuals and families.
• Family Wealth Management Comprehensive wealth management services encompassing education savings accounts (ESAs), 529 plans, retirement planning, intergenerational transfers, and money management for individuals and families.
• Guided Wealth Portfolio Digital wealth management platform offered through LPL Financial for portfolio management and account access, used by Caldwell Advisors, LLC for client portfolio oversight.

Named customers1 record

Segments2 records

Ideal customer profiles2 records

Technology focussed No

API detail

Has API

No

API docs

API detail

Core technology

AI maturity

App detail

Partnerships

Two partnerships are on record, tiered minor and core.

• Beverly O. Davis (Affiliated Advisor)minorChannel Partner/ Reseller/ Distributor · 1 July 2015Beverly O. Davis, AWMA, Financial Advisor, began offering advisory services through Caldwell Advisors, LLC in July 2015. She works with individuals, families, and small businesses on overall wealth management needs.
• LPL FinancialcoreChannel Partner/ Reseller/ DistributorLPL Financial is one of the leading financial services companies and the largest independent broker/dealer in the nation. The firm provides enabling technology, comprehensive clearing and compliance services, practice management programs and training, and independent research. Securities offered through LPL Financial, Member FINRA/SIPC.

Scale indicators1 record

Recent moves6 records

Expansion highlights5 records

Direct peers

• Kestra Financial: Independent broker-dealer and RIA platform with affiliated advisor model; directly comparable in structure to a Caldwell-type LPL-affiliated RIA practice and competes for similar advisors.
• Cetera Financial Group: Independent broker-dealer and RIA platform hosting affiliated financial advisors; mirrors Caldwell's model of independent advisors operating under an RIA umbrella, with comparable back-office and product access.
• Commonwealth Financial Network: Large independent broker-dealer supporting affiliated RIAs and advisors; competes for the same independent-advisor recruiting pool that Caldwell's affiliated-advisor program targets.
• Carson Group: RIA and advisor support platform that provides coaching, technology, and back-office to independent advisors; similar RIA-affiliation structure and mass-affluent client focus as Caldwell Advisors.
• Beacon Pointe Advisors: Multi-advisor RIA providing wealth management, financial planning, and tax services to individuals and families; close comparable in service mix, RIA-only structure, and team-based advisory model.
• Sequoia Financial Group: Fee-only RIA delivering wealth management, retirement planning, and tax strategies to individuals and institutions; comparable holistic planning offering and client segment to Caldwell.

Broad incumbents

• Edward Jones: National full-service wealth management franchise serving individual investors and families through a large advisor network; overlaps with Caldwell's mass-affluent, relationship-driven model but at vastly greater scale.
• Ameriprise Financial: Large diversified financial services firm with a substantial independent advisor channel offering wealth management, retirement, insurance and planning — directly comparable service mix to Caldwell's offerings.
• Mariner Wealth Advisors: National RIA offering comprehensive wealth management, tax, estate and insurance services to individuals and families; competes in the same holistic-advice category as Caldwell but at much larger AUM scale.
• Creative Planning: Large RIA offering comprehensive wealth management, tax, estate, and retirement planning to high-net-worth and mass-affluent individuals; competes in the same Southeast and national market as Caldwell.

Market position

Strengths5 records

Weaknesses5 records

Competitive moat3 records

Key risks7 records

Key highlights7 records

Customer concentration

• Xx.com/caldwellgroup
• Facebookfacebook.com/caldwelladvisorsllc
• LinkedInlinkedin.com/company/caldwell-advisors-llc

Revenue estimate

Valuation estimate

Number of profiles

Profiles8 records

Funding overview

Funding rounds

Investors

Funding detail is available on the Subscription and Enterprise plan.Contact sales →

M&A

Investments

M&A and investment is available on the Subscription and Enterprise plan.Contact sales →

Frequently asked questions about Caldwell Group