Gregory Caldwell
Gregory Caldwell is a registered investment advisor at Esi Financial Advisors, based in Centennial, CO, with 7 years of industry experience. Their practice areas include Investment Management, Retirement Planning. Their firm serves 12,116 clients with $2.5B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
ESI Financial Advisors offers investment management through various programs. Fees vary depending on the program chosen and can include platform fees, strategist fees, and service fees.
ESI Illuminations programs charge a platform fee between 0.26% and 0.45% annually, plus strategist fees (0.02%-1.00%) and EFA's service fee (0-2.00%).
American Funds and Schwab Retirement Advisor Services have tiered fees, up to 1.00% annually on the first $1M, decreasing to 0.35% on amounts over $10M.
AssetMark fees are negotiated with the advisor, not to exceed 1.5% annually.
SEI fees are also negotiated, not to exceed 1.75% annually, plus a 0.05% administrative fee.
Location
Centennial, CO
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
Gregory is the founder of G&G Enterprises LLC, providing consulting services, and the managing member of GRC Financial LLC, created for tax purposes. He is also an insurance agent selling non-variable insurance since 2023.
Employment History
Current Registrations
Equity Services, INC.Broker
Summit Global Investments, LLC
Previous Registrations
United Planners' Financial Services of America a Limited PartnerBroker
Transamerica Financial Advisors, INCBroker
State Registrations19 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.