Caldwell Securities, Inc. is a large advisory firm based in Sausalito. It manages $174.28 million of regulatory assets for 462 client accounts. It has been registered with the SEC as an adviser since 2010 and has operated in the jurisdictions of Arizona, California, Colorado, and 8 other states.
Caldwell Securities provides financial planning services and portfolio management for individuals and small businesses. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.
The assets under management (AUM) of Caldwell Securities, Inc. is $174.28 million. The firm's AUM has grown by 71% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.
The advisory firm has several streams of revenue. Clients pay Caldwell Securities, Inc. for their services and products based on a percentage of assets under management, hourly charges, fixed fees, and commissions. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.
The firm provides services to individuals and high net worth individuals. The largest group of clients of Joseph Francis Helmer is high net worth individuals with 50 clients and $114.5 million of assets under management. Among the 7 most similar advisory firms, Caldwell Securities has the 2nd highest percentage of high net worth individuals out of all clients.
The amount of regulatory assets under management is $173.43 million for 228 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.
Caldwell Securities doesn't advise any private funds.
The company employs 21 people that are either part- or full-time employees. 29 percent of the employees work as investment advisers or researchers. 2 employees are registered as investment adviser representatives with the state securities authorities.
There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.
Joseph Francis Helmer has been acting as President since 1 Aug 2008. Joseph Michael Ducote joined the executive team most recently as the Senior Managing Director.
The principal office where Caldwell Securities, Inc. performs its advisory services is located at 30 Liberty Ship Way #3225, Sausalito, CA 94965 The mailing address of the firm is Po Box 190, Sausalito, CA 94966 0190. An additional office of the firm is in San Ramon, CA. It doesn’t run an office outside of the United States.
You can reach the main office by calling the phone number 415-962-2526 or by fax 415-332-1838. The normal business hours are 6:30 am to 1:00 pm on Monday - Friday. You can find more information about the New York firm at cald.com/.