RIA Intelligence

CALDWELL ASSET MANAGEMENT INC.

CRD #126450 SEC #801-65941 NEW YORK, NY 212-220-4260
SEC Registered Private Funds
Total AUM
$26.4M
Discretionary
$26.4M
Employees
1
Clients
--
Accounts
18

Firm Details

Organization Type
Corporation
State of Formation
Delaware
Fiscal Year End
DECEMBER
Registration Date
--
Latest Filing
Mar 30, 2012
Branch Offices
--

Advisory Services

No services reported

Compensation Methods

No compensation methods reported

Ownership

Direct Owners & Executive Officers (Schedule A)

NameTypeTitle / StatusOwnershipControl
CALDWELL FINANCIAL LTD.FESOLE SHAREHOLDER OF CALDWELL ASSET MANAGEMENT, INC.NA Control
CALDWELL, BRENDAN, THOMAS NORTHIDIRECTOR/VICE PRESIDENTNA Control
CALDWELL, BRENDAN, THOMAS NORTHIDIRECTOR/VICE PRESIDENTNA Control
CALDWELL, BRENDAN, THOMAS NORTHIDIRECTOR/VICE PRESIDENTNA Control
CALDWELL, BRENDAN, THOMAS NORTHIDIRECTOR/VICE PRESIDENTNA Control
CALDWELL, BRENDAN, THOMAS NORTHIDIRECTOR/VICE PRESIDENTNA Control
CALDWELL, THEODORE, JAMES PIERSIDIRECTOR/PRESIDENTNA Control
CALDWELL, THEODORE, JAMES PIERSIDIRECTOR/PRESIDENTNA Control
CALDWELL, THEODORE, JAMES PIERSIDIRECTORNA Control
CALDWELL, THEODORE, JAMES PIERSIDIRECTOR/PRESIDENTNA Control
CALDWELL, THOMAS, SCOTTICHAIRMANNA Control
CALDWELL, THOMAS, SCOTTICHAIRMANNA Control
CALDWELL, THOMAS, SCOTTICHAIRMAN/CHIEF COMPLIANCE OFFICERNA Control
CALDWELL, THOMAS, SCOTTICHAIRMANNA Control
CALDWELL, THOMAS, SCOTTICHAIRMANNA Control
CALDWELL, THOMAS, SCOTTICHAIRMANNA Control
CALDWELL, THOMAS, SCOTTICHAIRMAN/CHIEF COMPLIANCE OFFICERNA Control
FREEMAN, JOHN, DENNISIDIRECTORNA Control
FREEMAN, JOHN, DENNISIDIRECTORNA Control
FREEMAN, JOHN, DENNISIDIRECTOR/PRESIDENTNA Control
FREEMAN, JOHN, DENNISIDIRECTORNA Control
FREEMAN, JOHN, DENNISIDIRECTORNA Control
STIRPE, ANGELA, THERESAIDIRECTOR/CCONA Control
STIRPE, ANGELA, THERESAIDIRECTOR/CHIEF COMPLIANCE OFFICERNA Control
STIRPE, ANGELA, THERESAIDIRECTOR/CCONA Control
STIRPE, ANGELA, THERESAIDIRECTOR/CHIEF COMPLIANCE OFFICERNA Control
STIRPE, ANGELA, THERESAIDIRECTOR/CHIEF COMPLIANCE OFFICERNA Control
WATSON, RICHARD, BLAIRIVICE PRESIDENTNA Control
WATSON, RICHARD, BLAIRIVICE PRESIDENTNA Control
WATSON, RICHARD, BLAIRIVICE PRESIDENTNA Control
CALDWELL FINANCIAL LTD.FESOLE SHAREHOLDER OF CALDWELL ASSET MANAGEMENT, INC.E Control
CALDWELL FINANCIAL LTD.FESOLE SHAREHOLDER OF CALDWELL ASSET MANAGEMENT, INC.E Control
CALDWELL FINANCIAL LTD.FESOLE SHAREHOLDER OF CALDWELL ASSET MANAGEMENT, INC.E Control
CALDWELL FINANCIAL LTD.FESOLE SHAREHOLDER OF CALDWELL ASSET MANAGEMENT, INC.E Control
CALDWELL FINANCIAL LTD.FESOLE SHAREHOLDER OF CALDWELL ASSET MANAGEMENT, INC.E Control
CALDWELL FINANCIAL LTD.FESOLE SHAREHOLDER OF CALDWELL ASSET MANAGEMENT, INC.E Control
CALDWELL FINANCIAL LTD.FESOLE SHAREHOLDER OF CALDWELL ASSET MANAGEMENT, INC.E Control
CALDWELL, THOMAS, SCOTTICHAIRMAN/CHIEF COMPLIANCE OFFICERE Control

Indirect Owners (Schedule B)

NameTypeEntityOwnershipControl
CALDWELL, THOMAS, SCOTTICALDWELL FINANCIAL LTD.E Control
CALDWELL, THOMAS, SCOTTICALDWELL FINANCIAL LTD.E Control
CALDWELL, THOMAS, SCOTTICALDWELL FINANCIAL LTD.E Control
CALDWELL, THOMAS, SCOTTICALDWELL FINANCIAL LTD.E Control
CALDWELL, THOMAS, SCOTTICALDWELL FINANCIAL LTD.E Control
CALDWELL, THOMAS, SCOTTICALDWELL FINANCIAL LTD.E Control
CALDWELL, THOMAS, SCOTTICALDWELL FINANCIAL LTD.C Control
CALDWELL, THOMAS, SCOTTICALDWELL FINANCIAL LTD.C Control

Registrations

Federal

IA
Mar 30, 2012 REGISTERED

Notice Filings (2)

FL NY

Address

450 PARK AVE
STE 1900
NEW YORK, NY 10022
United States
Phone: 212-220-4260