Calderwood Financial Strategies, Inc.
- Regulatory AUM
- $229M
- Discretionary
- $65.5M
- Clients
- 69
- Avg AUM / client
- $3.3M
- Accounts
- 69
- Employees
- 5
AUM over time
Annual snapshots from Form ADV filings · as of Mar 09, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 20 | $4.0M | 1.76% |
| High net worth individuals | 25 | $44.3M | 19.4% |
| Pension and profit sharing plans | 23 | $180M | 78.9% |
| Corporations and other businesses | 1 | $5.3K | 0.0% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Caldwell Companies 401(k) Profit Sharing Plan Caldwell Watson Real Estate Group, Inc. | 2024 | |
| Twin Eagle Resource Management 401(k) Plan Twin Eagle Holdings N.A., Llc | 2024 | |
| The Post Oak School Retirement Savings Plan The Post Oak School | 2024 | |
| Uretek Usa, Inc. Employee Savings & Retirement Plan Uretek Usa, Inc. | 2024 | |
| Heath Consultants Incorporated Profit Sharing & Retirement Plan Heath Consultants Incorporated | 2024 |
People (4)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Charles Andrew Calderwood | Registered representative | Chartered Financial Consultant | Jul 2021 (5y) | |
| Stephanie Irving Blakes | Registered representative | CFP | Apr 2022 (4y) | |
| Michael Patrick Connelly | Registered representative | Nov 2024 (2y) | ||
| Leonard Gerard Saizan | Registered representative | May 2025 (1y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Calderwood, Charles Andrew | Cco | Jul 2021 | A | 75% or more |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Retirement plans served (5)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Caldwell Companies 401(k) Profit Sharing Plan | Caldwell Watson Real Estate Group, Inc. | 158 | $16.1M | 01/01/2024 |
| Twin Eagle Resource Management 401(k) Plan | Twin Eagle Holdings N.A., Llc | 144 | $33.4M | 01/01/2024 |
| The Post Oak School Retirement Savings Plan | The Post Oak School | 133 | $10.1M | 01/01/2024 |
| Uretek Usa, Inc. Employee Savings & Retirement Plan | Uretek Usa, Inc. | 121 | $8.0M | 01/01/2024 |
| Heath Consultants Incorporated Profit Sharing & Retirement Plan | Heath Consultants Incorporated | 1,658 | $25.5M | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/09/2026 | 902 KB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
Services
- • Portfolio management for individuals/small businesses
- • Pension consulting services
- • Selection of other advisers
Custody
Reported custodians
- Fidelity Brokerage Services $119M (52% of AUM) Mar 2026
- Sei Investments Distribution Co. $65.5M (29% of AUM) Mar 2026
- Gwfs Equities, Inc. $21.8M (11% of AUM) May 2022
- Empower Financial Services, Inc. $19.4M (11% of AUM) Mar 2024
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 09, 2026.
View current Form ADV (SEC/IAPD) ↗