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CALDWELL SUTTER CAPITAL, INC.
CRD 10489File 801-66098
APPROVED
Retail clients
Custody
Disclosure events
Filing as of Apr 17, 2026
Feed vintage Aug 17, 2026
Regulatory AUM
$605.7M
Above cohort median (national)
Discretionary AUM
$574.7M
Non-discretionary $30.9M
Clients
546
1,249 accounts
Employees
17
Above cohort median in CA
Identity & registration
ADV Item 1- Organization form
- Corporation
- Firm type
- Registered
- SEC region
- SFRO
- Registration date
- Feb 8, 2006
- Principal office
- 30 LIBERTY SHIP WAY #3225, SAUSALITO, CA, 94965
- Phone
- 415-962-2526
- Website
- HTTP://WWW.CALD.COM/
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $605.7M
- Discretionary AUM
- $574.7M
- Non-discretionary AUM
- $30.9M
- Discretionary accounts
- 1,202
- Non-discretionary accounts
- 47
- Total accounts
- 1,249
- AUM per client
- $1.1M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | 11 | $22.7M |
| Charitable organizations | Fewer than 5 | $546K |
| High net worth individuals | 147 | $425.0M |
| Pension and profit sharing plans | 7 | $3.5M |
| Individuals (other than high net worth individuals) | 381 | $153.9M |
Compensation & activities
ADV Items 5E, 5GCompensation
- A percentage of assets under your management
Advisory activities
- Financial planning services
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- Yes
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- Yes
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11- Q11D2
Filed changes
| Date | Field | From | To |
|---|---|---|---|
| Aug 12, 2026 | Registration | — | APPROVED |
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.