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Quincy Caldwell

Empirikal Partners LLC
14 Years of Experience
Katy, TX
5 DisclosuresSells Insurance
View SEC Summary
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Quincy Caldwell is a registered investment advisor at Empirikal Partners LLC, based in Katy, TX, with 14 years of industry experience. Quincy operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Divorce Planning, Education Planning, Estate Planning, Financial Planning & Coaching, and 5 more. Their firm serves 199 clients with $88M in assets under management.

Empirikal Partners LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
9 advisors
Number of Clients
199 clients
Average Client Portfolio
$440K average
Assets Under Management
$87.5M

Fee Structure

Minimum Investment:None
Investment management only (planning not offered)
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $250K1.50%
$250K - $500K1.25%
$500K - $1.0M1.00%
$1.0M - $2.0M0.85%
$2M+0.85%

Fees for accounts over $2,000,000 are negotiable.

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

Location

Katy, TX

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History

Regulatory History (5)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Regulatory
March 2020
Final
Judgment / Lien
May 2013
Judgment / Lien
April 2012
Employment Separation After Allegations
September 2011
Judgment / Lien
April 2010
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Quincy is involved in financial and insurance sales and services, dedicating a few hours per week, and owns rental real estate property, dedicating minimal time. He is also an officer at Financial Depot LLC, an insurance agency that sells life insurance and indexed annuities, dedicating about 10-20% of his time, and is the treasurer for Old Danville Shepardhill Cemetary, dedicating minimal time.

Employment History
Current Registrations
Empirikal Partners LLC
January 2023 - Present · 3 yrs 9 mos
Previous Registrations
Supreme Alliance LLC
October 2020 - January 2023 · 2 yrs 3 mos
Supreme Alliance LLCBroker
October 2020 - January 2023 · 2 yrs 3 mos
Planmember Securities Corporation
October 2013 - October 2018 · 5 yrs
Planmember Securities CorporationBroker
October 2013 - October 2018 · 5 yrs
Veritrust Financial, LLC
April 2013 - October 2013 · 6 mos
Veritrust Financial, LLCBroker
April 2013 - October 2013 · 6 mos
Ridgeway Conger Advisory Services
December 2011 - June 2013 · 1 yr 6 mos
Ridgeway & Conger, INC.Broker
November 2011 - June 2013 · 1 yr 7 mos
Veritrust Financial, LLCBroker
March 2011 - September 2011 · 6 mos
Veritrust Financial, LLC
March 2011 - September 2011 · 6 mos
Ims Financial Advisors, INC.
September 2010 - March 2011 · 6 mos
Ims Securities, INC.Broker
June 2010 - March 2011 · 9 mos
State Registrations1 state
TX
Advisor

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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Quincy Caldwell - Financial Advisor | TrueAdvisor