{
  "crd_number": 338327,
  "slug": "caldwell-investment-management-ltd-toronto-ontario-338327",
  "primary_business_name": "CALDWELL INVESTMENT MANAGEMENT LTD.",
  "legal_name": "CALDWELL INVESTMENT MANAGEMENT LTD.",
  "dbas": [],
  "city": "Toronto, Ontario",
  "state": null,
  "country": "Canada",
  "cbsa_code": null,
  "metro": null,
  "registration_type": "exempt",
  "registration_status": "ERA - Active",
  "registration_date": "2026-04-08",
  "years_registered": 0,
  "period": "2026-10-01",
  "filing_date": "2026-04-08",
  "carried_forward": false,
  "raum_total": null,
  "raum_discretionary": null,
  "raum_non_discretionary": null,
  "raum_band": "not_reported",
  "raum_band_label": "Not reported",
  "total_employees": null,
  "advisory_employees": null,
  "client_count_bucket": null,
  "clients_by_type": null,
  "compensation_types": [],
  "advisory_activities": [],
  "wrap_fee_participant": null,
  "disclosure_yes_count": 0,
  "states_registered": [],
  "websites": [
    "https://caldwellinvestment.com",
    "https://linkedin.com/company/caldwell-investment-management-ltd?originalSubdomain=ca",
    "https://x.com/Caldwell_Funds/status/1433459070992846851"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/338327",
  "city_as_filed": "TORONTO, ONTARIO",
  "url": "https://advisorcensus.com/firm/caldwell-investment-management-ltd-toronto-ontario-338327",
  "display_name": "Caldwell Investment Management Ltd.",
  "summary": "Caldwell Investment Management Ltd. is an exempt reporting adviser in Toronto, Ontario, Canada, filing reports since 2026. Exempt reporting advisers do not report regulatory assets under management on Form ADV.",
  "citation": "AdvisorCensus. Caldwell Investment Management Ltd. (CRD 338327): Form ADV filing data as of October 2026.",
  "registration_type_label": "Exempt reporting adviser",
  "compensation_labels": [],
  "advisory_activity_labels": [],
  "quick_answers": [
    {
      "q": "Where is Caldwell Investment Management Ltd. located?",
      "a": "Caldwell Investment Management Ltd.'s principal office is in Toronto, Ontario, Canada, according to its Form ADV."
    },
    {
      "q": "How does Caldwell Investment Management Ltd. report to regulators?",
      "a": "Caldwell Investment Management Ltd. is an exempt reporting adviser, filing reports since 2026. Exempt reporting advisers file a shorter Form ADV. Status as filed: ERA - Active. CRD 338327."
    },
    {
      "q": "Does Caldwell Investment Management Ltd. report any disciplinary disclosures?",
      "a": "Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/338327"
    },
    {
      "q": "What changed in Caldwell Investment Management Ltd.'s recent Form ADV filings?",
      "a": "In the May 2026 filing data: Began filing reports as an exempt reporting adviser."
    }
  ],
  "filing_history": [],
  "recent_changes": [
    {
      "period": "2026-05-01",
      "period_label": "May 2026",
      "notes": [
        "Began filing reports as an exempt reporting adviser."
      ]
    }
  ],
  "fees_from_brochure": null,
  "custodians": [],
  "custodians_note": null,
  "markdown_url": "https://advisorcensus.com/firm/caldwell-investment-management-ltd-toronto-ontario-338327.md",
  "clients": [],
  "disclosure_line": "Reports no disclosure items on Form ADV Item 11.",
  "disclosure_items": [],
  "indexable": true,
  "suppressed": false,
  "claimed": false,
  "enhanced": false,
  "provided_by_the_firm": null,
  "source": {
    "name": "Form ADV",
    "as_of": "2026-10-01",
    "iapd_url": "https://adviserinfo.sec.gov/firm/summary/338327",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}