Caldwell Sutter Capital, Inc.
- Regulatory AUM
- $606M
- Discretionary
- $575M
- Clients
- 546
- Avg AUM / client
- $1.1M
- Accounts
- 1,249
- Employees
- 17
AUM over time
Annual snapshots from Form ADV filings · as of Apr 17, 2026
Investments (13F portfolio — 894 positions, $245,896,270)
13F period Mar 31, 2026| # | Issuer | Class | Value | Shares | % of 13F | % of AUM |
|---|---|---|---|---|---|---|
| 1 | Apple Inc | COM | $11,819,774 | 46,573 | 4.81% | 1.95% |
| 2 | Perma Pipe Intl Hldgs Inc | COM | $6,982,635 | 234,238 | 2.84% | 1.15% |
| 3 | Caterpillar Inc | COM | $5,795,003 | 8,180 | 2.36% | 0.96% |
| 4 | Kinetik Holdings Inc Com | NEW CL A | $5,739,974 | 118,570 | 2.33% | 0.95% |
| 5 | Plumas Bancorp | COM | $5,188,736 | 106,283 | 2.11% | 0.86% |
| 6 | Msa Safety Inc | COM | $4,800,292 | 29,279 | 1.95% | 0.79% |
| 7 | Summit St Bk Santa Rosa Calif | COM | $4,640,233 | 347,063 | 1.89% | 0.77% |
| 8 | Ishares Tr | 0-3 MNTH TREASRY | $4,422,445 | 43,934 | 1.8% | 0.73% |
| 9 | Visa Inc | COM CL A | $3,905,093 | 12,921 | 1.59% | 0.64% |
| 10 | Donegal Group Inc | CL A | $3,647,366 | 212,303 | 1.48% | 0.6% |
| 11 | Chevron Corporation | COM | $3,478,497 | 16,812 | 1.41% | 0.57% |
| 12 | Berkshire Hathawa Inc Del | CL B NEW | $3,409,029 | 7,114 | 1.39% | 0.56% |
| 13 | Ishares Tr | CORE S&P500 ETF | $3,149,125 | 4,821 | 1.28% | 0.52% |
| 14 | Vanguard Specialized Funds | DIV APP ETF | $3,056,321 | 14,211 | 1.24% | 0.5% |
| 15 | Seneca Foods Corp | NEW CL A | $3,021,796 | 19,996 | 1.23% | 0.5% |
| 16 | Costco Wholesale Corporation | COM | $3,002,400 | 3,013 | 1.22% | 0.5% |
| 17 | Modine Mfg Co | COM | $2,804,011 | 12,939 | 1.14% | 0.46% |
| 18 | Microsoft Corp | COM | $2,694,525 | 7,279 | 1.1% | 0.44% |
| 19 | Jpmorgan Chase & Co | COM | $2,646,281 | 8,996 | 1.08% | 0.44% |
| 20 | Parke Bancorp Inc | COM | $2,593,942 | 91,336 | 1.05% | 0.43% |
| 21 | Baycom Corp | COM | $2,378,297 | 80,010 | 0.97% | 0.39% |
| 22 | Exxon Mobil Corp | COM | $2,354,414 | 13,877 | 0.96% | 0.39% |
| 23 | American Express Co | COM | $2,219,741 | 7,338 | 0.9% | 0.37% |
| 24 | Firstsun Cap Bancorp | COM | $2,126,420 | 58,322 | 0.86% | 0.35% |
| 25 | Cisco Sys Inc | COM | $2,098,888 | 27,051 | 0.85% | 0.35% |
Top 25 of 894 positions from the manager's latest Form 13F · source filing (EDGAR) ↗. 13F covers long US-listed positions only. "% of AUM" is share of the firm's total regulatory AUM (Form ADV Item 5.F).
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 381 | $154M | 25.4% |
| High net worth individuals | 147 | $425M | 70.2% |
| Pension and profit sharing plans | 7 | $3.5M | 0.58% |
| Charitable organizations | Fewer than 5 clients | $546K | 0.09% |
| Corporations and other businesses | 11 | $22.7M | 3.74% |
People (13)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Helmer, John Caldwell | Founder, Trustee | Jan 2005 (22y) | ≈ 6.25% – 25% via John And Jinx Helmer Revocable Trust Dated January 4, 2005 | |
| Anderson, Christopher William | Chief Compliance Officer | Aug 2006 (20y) | Less than 5% | |
| Joseph Francis Helmer | President, Co Trustee | Aug 2008 (18y) | 50% – 75% | |
| Allen, Mari | Managing Director | Jul 2017 (9y) | Less than 5% | |
| Susan Diane Metcalf | Managing Director | CFA | Jul 2017 (9y) | Less than 5% |
| Ducote, Joseph Michael | Senior Managing Director | Oct 2017 (9y) | Less than 5% | |
| Helmer, Kathleen Reilly | Director | May 2022 (4y) | Less than 5% | |
| Edward Tobias Smith | Registered representative | Jul 2020 (6y) | ||
| Evan Lyle Hershey | Registered representative | Mar 2023 (3y) | ||
| Gregory Joseph Harder | Registered representative | Mar 2023 (3y) | ||
| Joseph Kevin Raymond | Registered representative | Apr 2023 (3y) | ||
| Sean Patrick Tuohy | Registered representative | May 2024 (2y) | ||
| Jon Christoph Goshay | Registered representative | Jun 2025 (1y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| John And Jinx Helmer Revocable Trust Dated January 4, 2005 | Shareholder | Jan 2005 | A | 25% – 50% |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Helmer, John Caldwell: 25% – 50% of John And Jinx Helmer Revocable Trust Dated January 4, 2005 × 25% – 50% direct ≈ 6.25% – 25% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 04/17/2026 | 1.14 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
Allegations: JOSEPH DUCOTE WAS TRANSACTING BUSINESS IN MAINE ON BEHALF OF CALDWELL SUTTER CAPITAL WITHOUT BEING LICENSED AS AN AGENT IN THE STATE. Status: Final Sanction Detail: DISGORGEMENT OF COMMISSIONS OF $3,686.78 FINE OF CSC FOR $2,500 FINE OF JOSEPH DUCOTE FOR $500 Summary: RESOLVED BY CONSENT AGREEMENT
Disclosure text reproduced verbatim from the firm's own Form ADV filings.
How they charge
- • Percentage of assets under management
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
Custody
Reported custodians
- Wedbush Securities Inc. $315M (52% of AUM) Apr 2026
- Charles Schwab & Co. $290M (48% of AUM) Apr 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Apr 17, 2026.
View current Form ADV (SEC/IAPD) ↗