Broker-dealer firm · Sausalito, CA
Caldwell Sutter Capital, Inc.
SEC-registered investment adviser · CRD 10489 · SEC 801-66098
At a glance
Caldwell Sutter Capital, Inc. is an SEC-registered investment adviser based in Sausalito, California, with $606 million in regulatory assets under management as of its Form ADV filed April 17, 2026. Its largest client group by assets is high-net-worth individuals, and it reports 528 individual clients. By Form ADV it is a broker-dealer firm, ranked 193rd of 391 broker-dealer firms and 7,068th of 17,210 SEC-registered advisers by assets.
Main office 415-962-2526cald.comAs filed on Form ADV
- Regulatory AUM
- $606M
- Rank among broker-dealer firms
- #193 of 391
- Rank among all SEC RIAs
- #7,068 of 17,210
- Rank in California
- #822 of 1,873
- Individual clients
- 528
- High-net-worth clients
- 147
- Accounts
- 1,249
- Discretionary
- 95% of AUM
- Employees
- 17
- Advisory staff
- 5
- Offices
- 3
Owners and executives on its Form ADV
- John Caldwell HelmerFounder, Trustee
- Christopher William AndersonChief Compliance Officer
- Joseph Francis HelmerPresident, Co-Trustee
- Christopher William AndersonFinancial and Operations Principal
- Mari AllenManaging Director
- Susan Diane MetcalfManaging Director
- Joseph Michael DucoteSenior Managing Director
- Christopher William AndersonChief Financial Officer
- Kathleen Reilly HelmerDirector, Trustee
Custody and brokerage
2 custodians
- Wedbush Securities$315M52%
- Charles Schwab$290M48%
Other RIAs using Wedbush SecuritiesOther multi-custodian RIAs
Broker-dealer
Hybrid RIA
Caldwell Sutter Capital, Inc. is a hybrid RIA: 14 of its employees are also registered representatives of a broker-dealer.
Form ADV Part 1 doesn’t name an unaffiliated broker-dealer. The firm’s Part 2A brochure (Item 10) and each adviser’s record on the SEC’s adviser search do.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 147 | $425M | 70% |
| Individuals | 381 | $154M | 25% |
| Corporations or other businesses | 11 | $23M | 4% |
| Pension and profit sharing plans | 7 | $4M | <1% |
| Charitable organizations | – | $1M | <1% |
Disciplinary disclosures
Caldwell Sutter Capital, Inc. answers yes to 1 disclosure item in Item 11 of Form ADV (criminal, regulatory or civil matters involving the firm or its advisory affiliates). Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
How it’s paid
- A percentage of assets under management
Form ADV and brochures on the SEC’s adviser search ↗cald.com ↗
AtlasMembers
The full record on Caldwell Sutter Capital, Inc.
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, ten years of filings
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- Growth over one, three and five years
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- Rank against 143 peers of its type and size
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- Owners and executives, with titles and stakes
- 9 namedLocked
- Main office, fax and compliance officer
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- Filing changes this year, with alerts
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does Caldwell Sutter Capital, Inc. manage?
Caldwell Sutter Capital, Inc. reports $606 million in regulatory assets under management across 1,249 accounts, 95% of it on a discretionary basis, on its Form ADV filed April 17, 2026.
What kind of firm is Caldwell Sutter Capital, Inc.?
Caldwell Sutter Capital, Inc. is a broker-dealer firm by its Form ADV answers. The firm is itself registered as a broker-dealer as well as an investment adviser.
Who are Caldwell Sutter Capital, Inc.’s clients?
By assets, its largest client types are high-net-worth individuals ($425 million, 147 clients); individuals ($154 million, 381 clients); corporations or other businesses ($23 million, 11 clients).
Does Caldwell Sutter Capital, Inc. have any disciplinary history?
Caldwell Sutter Capital, Inc. answers yes to 1 disclosure item in Item 11 of Form ADV, which covers criminal, regulatory and civil matters involving the firm or its advisory affiliates. The details are on the SEC’s adviser search.
Where these numbers come from
Every figure is Caldwell Sutter Capital, Inc.’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-04-17), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →