SEC-registered firm
Registration does not mean the SEC approves or recommends the firm, and it does not imply a certain level of skill or training.
Calderwood Financial Strategies, Inc.
Houston, TX
CRD 313466
Firm filing updated March 9, 2026 ·
- $228.5MAssets
- 3Advisory staff
- 69Accounts
Fees and minimums
All fee types on the form
- Percentage of assets under managementYes
- Hourly chargesNo
- Fixed feesNo
- Subscription fees (for a newsletter or periodical)No
- CommissionsNo
- Performance-based feesNo
- OtherNo
Who the firm serves
- High net worth individuals25
- Pension and profit sharing plans23
- Individuals20
See the client table
| Client type | Approximate number of clients | Assets |
|---|---|---|
| Individuals (other than high net worth) | 20 | $4.0 million |
| High net worth individuals | 25 | $44.3 million |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 23 | $180.2 million |
| Corporations or other businesses not listed above | Fewer than 5 clients | $5,293 |
What the client labels mean
Here, "individuals" includes trusts, estates, and IRAs of individuals. A "high net worth individual" is a qualified client or qualified purchaser.
Services
- Portfolio management for individuals and/or small businesses
- Pension consulting services
- Selection of other advisors (including private fund managers)
- Portfolio management for individuals and/or small businesses
- Pension consulting services
- Selection of other advisors (including private fund managers)
Assets and accounts
- Regulatory assets$228.5 million
- Accounts69
- Discretionary$65.5 million · 51 accounts
- Non-discretionary$163.0 million · 18 accounts
People
- Employees5
- Advisory staff3
- Broker-dealer reps0
- Licensed insurance agents3
Advisors
1 advisors with a profile on Advisable
Listed A to Z by last name. Not a ranking.
Registration details
- SEC-registered investment advisor. CRD 313466, SEC file 801-120801.
- Registered with the SEC as an investment advisor (status date on record: April 15, 2021).
Is Calderwood Financial Strategies, Inc. a fiduciary?
Short answer: Calderwood Financial Strategies, Inc. is registered with the SEC as an investment advisor. Some of its people may also act in other roles, such as for a broker-dealer or as insurance agents, where different rules apply. Details below.
More detail
The SEC put it this way in 2019: 'Under federal law, an investment adviser is a fiduciary.'
3 staff are licensed insurance agents and the firm is itself an insurance broker or agent.
The firm's Form CRS explains its services, fees and conflicts in plain language: Form CRS.
About this data
Informational only. Advisable Finance is not an investment advisor, does not give investment advice, and does not endorse any advisor.