SourcingSourcing

CALDERWOOD FINANCIAL STRATEGIES, INC.

A76
CRD 313466·SEC 801-120801·HOUSTON, TX
AUM
$228.5M
$100M-$500M
Est. Revenue
$2.3M
@ 1% on AUM
Est. EBITDA
$686K
@ 30% margin
Est. Deal Value
$5.5M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
CALDERWOOD FINANCIAL STRATEGIES, INC.
CRD
313466
SEC file #
801-120801
EIN
—
DBA names
—

Economics

AUM
$228.5M
AUM band
$100M-$500M
AUM trajectory
'22'26
$204.2M → $228.5M▲ +12%
Client mix
Individuals High Net Worth25
Pension Profit Sharing Plans23
Individuals Other20
Corporations1

Operations

Employees (total)
5
Advisory staff (per ADV)
3
Advisory staff (5-yr trend)
'22'26
1 advisors → 3 advisors▲ +200%
Primary office
HOUSTON TX
Branches
—

Custodian & Brokerage

Primary custodian
Fidelitylow confidence
Services offered
Portfolio mgmt — individualsPension consultingSelection of other advisers
Fee basis
% of AUM

Filings

Latest ADV filing
03/09/2026
ADV-W filed at
—
Website
calderwoodfinancial.com

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
CALDERWOOD, CHARLES ANDREW
Top Owner Pct
87.5
Top Owner Entity Kind
I
Owner Count
1
Control Persons
CALDERWOOD, CHARLES ANDREW
Solo Advisor Indicator
No
Succession Risk Solo Owner
Yes
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
ok
Rdap Domain
CALDERWOODFINANCIAL.COM
Rdap Domain Creation Date
2006-10-18T14:41:05Z
Rdap Firm Age Years
20
Rdap Firm Age Band
20+y
Rdap Registrar
GoDaddy.com, LLC

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
Yes
Form 5500 Plan Count
5
Form 5500 Total Compensation
217,394
Form 5500 Compensation Trajectory 3y
2025217,394
Form 5500 Plan Count Trajectory 3y
20255
Schedule C Total Compensation
217,394
Schedule C Service Provider Rows
5

SEC EDGAR

Edgar Registered
No

Compliance & brand

Firm Registration Status
active

All other collected signals (13)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
0
Bc Firm Active IA Count
4
Bc Firm IAR Count
4
Custodian Candidates
Full
Fidelity4
E*trade4
Firm Has Custody
No
Mailing Office Differs
No
Rdap Domain Expiration Date
2026-10-18T14:41:05Z
Rdap Domain Last Changed
2025-10-21T18:00:14Z
Rdap Nameservers
Ns05.domaincontrol.comNs06.domaincontrol.com
Rdap Secure Dns Enabled
No
Rdap Status
Client Delete ProhibitedClient Renew ProhibitedClient Transfer ProhibitedClient Update Prohibited
Trust Company Affiliate
No

People (4)

4
Leonard Gerard Saizan
IAR
8086397
Michael Patrick Connelly
IAR
8010651
Charles Andrew Calderwood
IAR
837702
STEPHANIE IRVING BLAKES
IAR
3083697