DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Registered advisor

Robert Joseph Caldwell

MML Investors Services, LLCBD affiliatedSpringfield, Ma IA-onlyIAPD 6117463

Certified Financial Planner · Chartered Financial Consultant

Feed of 09/14/2026

Also filed as Bo Caldwell

At current firm

0 y

since Jul 23, 2026

In the industry

13 y

since Nov 9, 2012 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

MML Investors Services, LLC BD affiliated current
since Jul 23, 2026 · Lake Oswego, Or
Foundations Investment Advisors LLC independent RIA
Nov 21, 2025 to Jun 18, 2026 · Phoenix, Az
Price Financial Group Wealth Management, Inc. independent RIA
Sep 30, 2022 to Nov 19, 2025 · Beaverton, Or
Cwm, LLC BD affiliated
Feb 11, 2021 to Oct 4, 2022 · Portland, Or
Price Financial Group Wealth Management unclassified
Dec 14, 2018 to Dec 1, 2021 · Beaverton, Or
Fsc Securities Corporation former
May 24, 2018 to Dec 20, 2018 · Clackamas, Or
LPL Financial LLC BD affiliated
Nov 16, 2016 to Jun 1, 2018 · Portland, Or
Wells Fargo Advisors wirehouse
Jan 30, 2015 to Jun 8, 2016 · Portland, Or
Edward Jones national BD
Jan 7, 2013 to Feb 2, 2015 · St Louis, Mo

Moves

a registration end followed by a registration begin elsewhere

Foundations Investment Advisors LLC to MML Investors Services, LLC
left Jun 18, 2026, registered Jul 23, 2026 (35 days) · RIA to affiliated broker-dealer or bank
Price Financial Group Wealth Management, Inc. to Foundations Investment Advisors LLC
left Nov 19, 2025, registered Nov 21, 2025 (2 days) · RIA to RIA
Cwm, LLC to Price Financial Group Wealth Management, Inc.
left Oct 4, 2022, registered Sep 30, 2022 (-4 days) · Affiliated broker-dealer or bank to a newly registered adviser
Price Financial Group Wealth Management to Cwm, LLC
left Dec 1, 2021, registered Feb 11, 2021 (-293 days) · Other · moved with a team
Fsc Securities Corporation to Price Financial Group Wealth Management
left Dec 20, 2018, registered Dec 14, 2018 (-6 days) · Other
LPL Financial LLC to Fsc Securities Corporation
left Jun 1, 2018, registered May 24, 2018 (-8 days) · RIA to affiliated broker-dealer or bank · moved with a team
Wells Fargo Advisors to LPL Financial LLC
left Jun 8, 2016, registered Nov 16, 2016 (161 days) · Other
Edward Jones to Wells Fargo Advisors
left Feb 2, 2015, registered Jan 30, 2015 (-3 days) · Affiliated broker-dealer or bank to wirehouse

Signals

Robert Joseph Caldwell left Foundations Investment Advisors Llc for Mml Investors Services, Llc (registered 2026-07-23)
Jun 18, 2026 · Advisor changed firm · fact
Robert Joseph Caldwell left Price Financial Group Wealth Management, Inc. for Foundations Investment Advisors Llc (registered 2025-11-21)
Nov 19, 2025 · Advisor changed firm · fact
Robert Joseph Caldwell left Cwm, Llc for Price Financial Group Wealth Management, Inc. (registered 2022-09-30)
Oct 4, 2022 · Advisor changed firm · fact

Transition signals

Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.

Provenance

Source: IAPD individual compilation feedreportedadviserinfo.sec.gov
Firm class: Broker-dealer affiliated wealth managerderived
Years in industry: 13derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address