CALDWELL SUTTER CAPITAL, INC.

Broker-DealerFINRA MemberEst. 2006
Total AUM
$606M
Discretionary
$575M
95% of AUM
Accounts
1,249
Employees
17
Advisory reps
20
Brokerage reps
14

Firm details

Headquarters
SAUSALITO, California
CRD number
10489
Registered since
February 8, 2006
Website
www.cald.com
Custodians
CHARLES SCHWAB & CO., INC., WEDBUSH SECURITIES INC.
Fee structure
Percentage of AUM
Client types
  • HNWI70.17%
  • Individuals25.41%
  • Corporations / Businesses3.74%
  • Pension & Profit Sharing Plans0.58%
  • Charitable Organizations0.09%
Services
Financial PlanningPortfolio Management for Individuals

Firm profile

FINTRX

Overview

Caldwell Sutter Capital, Inc. is a corporation registered with the SEC since 2006 that operates as an independent broker-dealer and investment bank while also acting as an insurance broker and registered municipal advisor. Ownership is listed as a combination of a domestic entity and individual ownership. The firm serves both individual and family clients as well as institutional clients, charging fees based on a percentage of assets under management. Its advisory work centers on financial planning and portfolio management for individuals and small businesses. The firm is not positioned as an ESG investor, is not registered as a multi-state adviser, and does not act as a capital allocator.

Assets & Accounts

Public Holdings

Investments & Alternatives

Location & Offices

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Investment profile

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Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

FINTRX

CRM & tech providers

TAMPs used

Clients

FINTRX

Client base

Client personas

Asset composition

Asset composition: Exchange Traded Equities 46%, Non-Exchange Traded Equities 20%, Public Funds/Mutual Funds 14%, Cash & Cash Equivalents 12%, State & Local Bonds 6%, US Government Bonds 2%46%
  • Exchange Traded Equities46%
  • Non-Exchange Traded Equities20%
  • Public Funds/Mutual Funds14%
  • Cash & Cash Equivalents12%
  • State & Local Bonds6%

Owners & executives

1 of 1

  • CHRISTOPHER ANDERSON

    Chief Compliance OfficerCRD 5085595

Contacts

3 of 19

  • EDWARD SMITH

    Operations ManagerCRD 2012234

  • CHRISTOPHER MALOY

    Managing DirectorCRD 5534007

  • JOSEPH DUCOTE

    ChairmanCRD 72548

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Wealth teams

FINTRX

Newly hired reps

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Recent M&A activity

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Recent filings

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Awards

FINTRX

ETF holdings

1 of 266

Active vs passive

$43.9M in ETFs

Passive

86%

$37.8M

Active

6%

$6.1M

ETFProviderStyleCategoryValueShares% of portfolio
ISHARES 0-3 MONTH TREASURY BOND ETF (SGOV)BlackRockPassiveUltrashort Bond$4.4M43,93410.07%
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Location

Primary office

SAUSALITO, CA

MARIN

Location

SAUSALITO, CA

Headquartered in SAUSALITO, CA, anchoring the San Jose-San Francisco-Oakland, CA metro in the West.

Metro area
San Jose-San Francisco-Oakland, CA
Region
West
County
MARIN
Address
30 Liberty Ship Way
Time zone
PT (UTC-8)
Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth