John Caldwell
John Caldwell is a registered investment advisor at J.P. Morgan Securities LLC, based in Birmingham, MI, with 28 years of industry experience. John operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Financial Planning & Coaching, Investment Management. Their firm serves 1,055,400 clients with $350B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $250K | 1.45% |
| $250K - $500K | 1.30% |
| $500K - $1000K | 1.15% |
| $1.0M - $2.0M | 1.00% |
| $2.0M - $5.0M | 0.75% |
| $5.0M - $10.0M | 0.65% |
| $10.0M - $15.0M | 0.55% |
| $15.0M - $25.0M | 0.50% |
| $25.0M - $50.0M | 0.40% |
| $50M+ | 0.30% |
The Advisory Fee rate for assets invested in the Fixed Income Advisory Program (FIAP) is 0.70%. The Advisory Fee rate for assets invested in the Liquidity Management Strategy (LMS) is 0.40%. Effective November 10, 2025 the Advisory Fee rate for new LMS investors and LMS proposals dated on or after November 10, 2025 will be 0.60%.
Fee Estimator
Location
480 Pierce St, Floor 02, Birmingham, MI, 48009
Get directionsHistory
Regulatory History (1)
Judgment / Lien
October 2014Other Business Activities
John works as an employee/contractor for KMC Educational Services, providing tutoring services since 2023. He dedicates minimal time to this non-investment related activity.
Employment History
Current Registrations
J.P. Morgan Securities LLC
J.P. Morgan Securities LLCBroker
Previous Registrations
Freedom One Investment Advisors, INC.
UBS Financial Services INC.Broker
Mcdonald Investments INC.Broker
Wayne Hummer Investments L.L.C.Broker
Mcdonald & Company Securities, INC.Broker
State Registrations53 states
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.