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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

CALDWELL ADVISORS, LLC

CRD 144408

BRENTWOOD, TN

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:cc3f8c92-928f-92ff-91ba-b402fa9a0aa4

Data as of Apr 7, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:55 AM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 3
On other graphs: 0
Observed: Mar 29, 2012 to Apr 7, 2026
42 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: independent wealth managerderivedprivate_client_share=0.97 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=6.0
Regulatory AUM: $351MItem 5.F on the latest filing (2026-04-07); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $344M
Private client RAUM: $341MderivedItem 5.D individuals plus high net worth individuals
Private client share: 97%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 5
RAUM per advisor: $70.3Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 8
Advisory employees: 5
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 1,016
Individual clients: 249
High net worth clients: 250
Custody, client assets: $125M
SEC number: 801-106730
CRD: 144408
Filings on the tape: 42
First filed: Mar 29, 2012
Latest filed: Apr 7, 2026
Organised: Limited Liability Company, TN

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
BILLY RAY CALDWELL	n/a	BRENTWOOD, TN	15	34	3	yes
BEVERLY OGLES DAVIS	n/a	Murfreeesboro, TN	11	22	2	yes
BENTLEY YEISER LONDON	n/a	BRENTWOOD, TN	8	15	n/a	yes
AARON ALAN ZAUNER	n/a	BRENTWOOD, TN	5	21	3	yes
COLIN T CALDWELL	n/a	BRENTWOOD, TN	1	10	n/a	yes

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
CALDWELL, BILLY, RAY	Member	E	yes	06/2007	Mar 29, 2012	Mar 15, 2024
SMITH, NATASHA, LEE	CHIEF COMPLIANCE OFFICER	Na	yes	09/2022	Apr 1, 2020	Mar 15, 2024

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Murfreesboro	Tn	United States	1	no
Murfreesboro	Tn	United States	1	no
n/a	n/a	n/a	1	yes

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line; showing 12 of 13

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Apr 7, 2026	$351M	$344M	8	5	1	n/a	n/a
2024	Mar 18, 2025	$339M	$332M	8	5	3	n/a	n/a
2023	Mar 15, 2024	$323M	$316M	8	6	3	n/a	n/a
2022	Mar 30, 2023	$279M	$274M	9	6	3	n/a	n/a
2021	Mar 31, 2022	$233M	$225M	9	6	2	n/a	n/a
2020	Mar 31, 2021	$276M	$249M	9	6	2	n/a	n/a
2019	Apr 1, 2020	$173M	$154M	6	5	3	n/a	n/a
2018	Mar 29, 2019	$203M	$186M	7	6	4	n/a	n/a
2017	Mar 29, 2018	$203M	$184M	9	5	3	n/a	n/a
2016	Feb 13, 2017	$161M	$145M	7	5	n/a	n/a	n/a
2015	Feb 26, 2016	$134M	$126M	6	5	n/a	n/a	n/a
2011	Mar 29, 2012	$41.0M	$25.0M	n/a	n/a	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	1

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$351M	$339M	3.6%	$279M	8.0%	8	8	1	3

Relationships

Registered with (8)

← COLIN T CALDWELLAdvisorregistration: current employment
May 9, 2025 to presentfactForm ADV
← AARON ALAN ZAUNERAdvisorregistration: current employment
May 28, 2021 to presentfactForm ADV
← BENTLEY YEISER LONDONAdvisorregistration: current employment
Sep 20, 2018 to presentfactForm ADV
← BEVERLY OGLES DAVISAdvisorregistration: current employment
Jun 15, 2015 to presentfactForm ADV
← BILLY RAY CALDWELLAdvisorregistration: current employment
Dec 3, 2010 to presentfactForm ADV
← RYAN KENNETH SNOVERAdvisorregistration: previous registration
Jun 22, 2016 to Jun 10, 2025factForm ADV
← DAVID SCOTT STEINFELDAdvisorregistration: previous registration
Mar 31, 2020 to Oct 4, 2021factForm ADV
← JAMIE RENE HOGANAdvisorregistration: previous registration
Sep 13, 2016 to Jan 3, 2019factForm ADV

Controls (2)

← CALDWELL, BILLY, RAYOwnerMEMBER, ownership code E, individual
Mar 29, 2012 to Mar 15, 2024factForm ADV
← SMITH, NATASHA, LEEOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Apr 1, 2020 to Mar 15, 2024factForm ADV

Dated events

Occurred
Jun 10, 2025
Advisor changed firm
Ryan Kenneth Snover left Caldwell Advisors, Llc for Lpl Financial Llc (registered 2024-09-03)
Form ADVobserved 5 days ago
Occurred
Mar 31, 2021
Regulatory AUM changed
Caldwell Advisors, Llc reported RAUM $276.2M, up 59% from $173.4M (2020-10-14 to 2021-03-31)
Form ADVobserved 5 days ago
$103M
Occurred
Sep 28, 2015
First Form ADV filing
Caldwell Advisors, Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:cc3f8c92-928f-92ff-91ba-b402fa9a0aa4
First observed: Mar 29, 2012
Last observed: Apr 7, 2026 5 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

CALDWELL ADVISORS, LLC

CRD 144408

BRENTWOOD, TN

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:cc3f8c92-928f-92ff-91ba-b402fa9a0aa4

Data as of Apr 7, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:55 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

BILLY RAY CALDWELL

n/a

BRENTWOOD, TN

yes

BEVERLY OGLES DAVIS

n/a

Murfreeesboro, TN

yes

BENTLEY YEISER LONDON

n/a

BRENTWOOD, TN

n/a

yes

AARON ALAN ZAUNER

n/a

BRENTWOOD, TN

yes

COLIN T CALDWELL

n/a

BRENTWOOD, TN

n/a

yes

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

CALDWELL, BILLY, RAY

Member

yes

06/2007

Mar 29, 2012

Mar 15, 2024

SMITH, NATASHA, LEE

CHIEF COMPLIANCE OFFICER

yes

09/2022

Apr 1, 2020

Mar 15, 2024

City

State

Country

Employees

Also broker-dealer

Murfreesboro

United States

Murfreesboro

United States

n/a

yes

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Apr 7, 2026

$351M

$344M

n/a

2024

Mar 18, 2025

$339M

$332M

n/a

2023

Mar 15, 2024

$323M

$316M

n/a

2022

Mar 30, 2023

$279M

$274M

n/a

2021

Mar 31, 2022

$233M

$225M

n/a

2020

Mar 31, 2021

$276M

$249M

n/a

2019

Apr 1, 2020

$173M

$154M

n/a

2018

Mar 29, 2019

$203M

$186M

n/a

2017

Mar 29, 2018

$203M

$184M

n/a

2016

Feb 13, 2017

$161M

$145M

n/a

2015

Feb 26, 2016

$134M

$126M

n/a

2011

Mar 29, 2012

$41.0M

$25.0M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$351M

$339M

3.6%

$279M

8.0%