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Michael Caulfield

Advice and Planning Services
22 Years of Experience
Flower Mound, TX
1 DisclosureBroker
View SEC Summary
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Michael Caulfield is a registered investment advisor at Advice and Planning Services, based in Flower Mound, TX, with 22 years of industry experience. Michael is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Estate Planning, Investment Management, Retirement Planning. Their firm serves 72,503 clients with $38B in assets under management.

Advice and Planning Services
Compensation
Fee-Only (% of Portfolio)
Firm Size
1692 advisors
Number of Clients
72,503 clients
Average Client Portfolio
$523K average
Assets Under Management
$37.9B

Fee Structure

Minimum Investment:$5K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any1.15%

Rates vary by managed account program. TIAA Portfolio Advisor uses a tiered schedule ranging from 1.15% down to 0.40% annually. Private Asset Management ranges from 0.90% down to 0.40% for blended portfolios plus transaction costs, and 0.15% for fixed income portfolios plus transaction costs.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

Flower Mound, TX

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History

Regulatory History (1)
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Criminal
December 2018
Final Disposition
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Michael is the owner of MJC Publishing since 2012, working as an author, videographer, and music composer. This takes about a quarter of his time during non-trading hours.

Employment History
Current Registrations
Advice and Planning Services
February 2026 - Present · 8 mos
Tiaa-Cref Individual & Institutional Services, LLC
January 2026 - Present · 9 mos
Tiaa-Cref Individual & Institutional Services, LLCBroker
January 2026 - Present · 9 mos
Previous Registrations
LPL Financial LLCBroker
May 2025 - August 2025 · 3 mos
LPL Financial LLC
May 2025 - August 2025 · 3 mos
LPL Enterprise, LLCBroker
October 2024 - June 2025 · 8 mos
LPL Enterprise, LLC
October 2024 - June 2025 · 8 mos
First Command Advisory Services
April 2024 - October 2024 · 6 mos
First Command Brokerage Services, INC.Broker
April 2024 - October 2024 · 6 mos
Charles Schwab & CO., INC.
November 2021 - January 2024 · 2 yrs 2 mos
Charles Schwab & CO., INC.Broker
November 2021 - January 2024 · 2 yrs 2 mos
TD Ameritrade Investment Management, LLC
May 2018 - September 2023 · 5 yrs 4 mos
TD Ameritrade, INC.
November 2014 - October 2022 · 7 yrs 11 mos
TD Ameritrade, INC.Broker
January 2012 - December 2023 · 11 yrs 11 mos
Clark Securities, INC.Broker
July 2010 - January 2012 · 1 yr 6 mos
Clark Investment Strategies, INC.
July 2010 - December 2011 · 1 yr 5 mos
1st Global Capital CORP.Broker
March 2009 - May 2009 · 2 mos
LPL Financial Corporation
July 2005 - February 2009 · 3 yrs 7 mos
LPL Financial CorporationBroker
July 2005 - February 2009 · 3 yrs 7 mos
American Century Investment Services INC.Broker
April 2001 - August 2003 · 2 yrs 4 mos
American Express Financial Advisors INC.Broker
May 2000 - February 2001 · 9 mos
Ids Life Insurance CompanyBroker
May 2000 - February 2001 · 9 mos
State Registrations51 states
AKALARAZCACOCTDCDEFLGAHIIAIDILINKSKYLAMAMDMEMIMNMOMSMTNCNDNENHNJNMNVNYOHOKORPARISCSDTNTXUTVAVTWAWIWVWY
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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