Cauldwell Financial Group Inc (West Des Moines)

Name: Cauldwell Financial Group Inc
Address: 3001 Westown Pkwy, Suite 200, West Des Moines, IA, 50266
Telephone: 515-224-4032

Cauldwell Financial Group Inc is an adviser based in West Des Moines. It manages $3 million of regulatory assets for 8 client accounts. It has been registered with the SEC as an adviser since 2001.

Cauldwell Financial Group provides portfolio management for individuals and small businesses. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Cauldwell Financial Group: assets under management

The assets under management (AUM) of Cauldwell Financial Group Inc is $3 million. The firm's AUM has gone down by -96% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Cauldwell Financial Group Inc for their services and products based on a percentage of assets under management. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at Cauldwell Financial Group Inc

James Marshall Mars has been acting as President since 1 Aug 1986. Grady Douglas Holt joined the executive team most recently as the Chief Compliance Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
James Marshall Mars	President/ceo	1 Aug 1986	75% - 100%	1492554
Grady Douglas Holt	Chief compliance officer	1 Jan 2005	Other	2776646

Based in West Des Moines

The principal office where Cauldwell Financial Group Inc performs its advisory services is located at 3001 Westown Pkwy, Suite 200, West Des Moines, IA 50266, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 515-224-4032 or by fax 515-224-0653. The normal business hours are 8:00am - 5:00pm on Monday - Friday. You can find more information about the New York firm at www.cauldwell.com.