Caldwell Sutter Capital, Inc
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Overview
Caldwell Sutter Capital, Inc operates as a financial advisor firm located in Sausalito, California. The firm oversees $299.7 million in assets under management across 559 customer accounts, placing it in the mid-tier of financial advisory firms in the country by assets under management (AUM). The firm has a small group, including 3 financial advisors. Caldwell Sutter Capital, Inc does not act as a registered broker-dealer, meaning the firm cannot buy and sell securities for its customers' and own accounts and instead must go through a broker-dealer firm to do so. Securities are defined as exchangable fiscal assets like options, equities and bonds.
Caldwell Sutter Capital, Inc administers the majority of the company's accounts in a discretionary manner. Discretionary management means that buy and sell choices for the client's account are made by a portfolio manager without requiring the client's approval. The firm also administers 77 non-discretionary accounts totaling $30.2 million in assets under management. Caldwell Sutter Capital, Inc oversees about $536,207 for each customer account. An average financial advisor at Caldwell Sutter Capital, Inc administers about 186 client accounts.
The company's main office is at 30 Liberty Ship Way #3225, Sausalito, California 94965. Caldwell Sutter Capital, Inc is permitted to provide services to clients across 15 U.S. states and territories.
Assets Under Management
Number of Advisors
Disclosures
Office Location
Caldwell Sutter Capital, Inc by the Numbers
$299.7 million
19
559
$536.2 thousand
Fee Structure
Financial management fees largely depend on which services the firm provides the client. Fees billed by the firm can consist of any blend of the following fee types: asset-based or commission-based. The firm does not participate in a wrap fee program, in which the firm offers a service bundle for a single fee.
Available
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Offered by 69% of firms
Percentage of Assets
-
Offered by 1% of firms
Commissions
Unavailable
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Find one of the 21% of firms that offer this fee type
Hourly
-
Find one of the 26% of firms that offer this fee type
Performance-based
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Find one of the 0% of firms that offer this fee type
Subscription
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Find one of the 32% of firms that offer this fee type
Fixed
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Find one of the 10% of firms that offer this fee type
Other
Types of Clients
The company provides services to retail investors and high net worth investors. Out of its 559 accounts, Caldwell Sutter Capital, Inc's largest client group by number of accounts is retail investors, although it also caters to 89 high-net-worth individuals. The SEC defines a high-net-worth individual as a person who has at least $750,000 in AUM or a net worth of more than $1.50 million or who is deemed a "qualified purchaser" (a standard met by having at least $5 million in investments). None of the company's customers reside abroad.
- High-Net-Worth Individuals* - 33.21%
- Other Individuals - 66.79%
- Corporations - 0%
- Charitable Organizations - 0%
* The U.S. Securities and Exchange Commission (SEC) defines a high-net-worth individual as someone who has at least $750,000 under management.
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Disclosures
Caldwell Sutter Capital, Inc does not have any disclosures.
Please visit its Form ADV for more details.
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