Quincy Caldwell
Quincy Caldwell is a registered investment advisor at Empirikal Partners LLC, based in Phoenix, AZ, with 13 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, Insurance Planning, Investment Management, Retirement Planning, and 1 more. Their firm serves 170 clients with $88M 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 | 1.50% |
| $250K - $500K | 1.25% |
| $500K - $1.0M | 1.00% |
| $1.0M - $2.0M | 0.85% |
| $2M+ | 0.85% |
Fees negotiable for accounts over $2,000,000.
Fee Estimator
Location
Phoenix, AZ
Get directionsHistory
Regulatory History (5)
Regulatory
March 2020Judgment / Lien
May 2013Judgment / Lien
April 2012Employment Separation After Allegations
September 2011Judgment / Lien
April 2010Other 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
Previous Registrations
Supreme Alliance LLC
Supreme Alliance LLCBroker
Planmember Securities Corporation
Planmember Securities CorporationBroker
Veritrust Financial, LLCBroker
Veritrust Financial, LLC
Ridgeway Conger Advisory Services
Ridgeway & Conger, INC.Broker
Veritrust Financial, LLC
Veritrust Financial, LLCBroker
Ims Financial Advisors, INC.
Ims Securities, INC.Broker
State Registrations1 state
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.