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Private company

CALDWELL SUTTER CAPITAL, INC.

Corporation registered in the United States, active since 1982. Summary from the record

Last updated Oct 21, 2026.

Overview

  • HeadquartersSausalito, United States2
  • Legal formCorporation2
  • LEI549300V235L4XXVM6D132
  • StatusActive2
  • LEI statusIssued and current2
  • Registered addressC/O KATHLEEN REILLY HELMER, 94965 Sausalito, United States2
  • Registered withSecretary of State, 11034372

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Corporate structure

CALDWELL SUTTER CAPITAL, INC. is part of a group headed by The Helmer Family Trust Dated 3/8/2022. 5 entities, 1 country on record. Switch between the flow chart and the network, and select any entity to see its details.

Major holders of CALDWELL SUTTER CAPITAL, INC.

  • John And Jinx Helmer Revocable Trust Dated January 4, 2005 Owns 25% to 50% of Caldwell Sutter Capital, Inc., since 01/2005 (Form ADV)
  • John Caldwell Helmer Owns control (general partner, trustee or manager) of John And Jinx Helmer Revocable Trust Dated January 4, 2005, since 01/2005 (Form ADV)
  • Joseph Francis Helmer Owns control (general partner, trustee or manager) of John And Jinx Helmer Revocable Trust Dated Trustee January 4, 2005, since 03/2021 (Form ADV)
  • Kathleen Reilly Helmer Owns 25% to 50% of The Helmer Family Trust Dated 3/8/2022, since 05/2025 (Form ADV)

Built from major holders from Schedules 13D and 13G; stakes of 5% or more it reported on Schedules 13D and 13G (3 companies); owners and owned firms from Form ADV, the registration investment advisers file with the SEC. Each entity in the chart links to its source.

Investment adviser

CALDWELL SUTTER CAPITAL, INC. is registered with the SEC as an investment adviser. This is what it reports on Form ADV, the registration every adviser files and keeps current.

  • Assets it manages$605.7M3 1,249 accounts, $574.7M with discretion
  • Employees17 5 in investment advice or research
  • ClientsHigh net worth individuals: 147 ($425.0M); Individuals (other than high net worth individuals): 381 ($153.9M); Corporations or other businesses not listed above: 11 ($22.7M); Pension and profit sharing plans (but not the plan participants or: 7 ($3.5M)
  • How it is paidA percentage of assets under its management
  • What it doesFinancial planning services; Portfolio management for individuals and/or small businesses
  • Holds client assetsYes: cash and securities
  • RegistrationSEC 801-66098, CRD 10489 IAPD record

Who owns it

Owners of 5% or more as the firm lists them (Schedule A), and the owners of those owners up the chain (Schedule B).

  • THE HELMER FAMILY TRUST DATED 3/8/2022owns 50% to 75%, since 05/2025
  • JOHN AND JINX HELMER REVOCABLE TRUST DATED JANUARY 4, 2005owns 25% to 50%, since 01/2005
  • John Caldwell Helmerowns general partner, trustee or manager of JOHN AND JINX HELMER REVOCABLE TRUST DATED JANUARY 4, 2005, since 01/2005
  • Joseph Francis Helmerowns general partner, trustee or manager of JOHN AND JINX HELMER REVOCABLE TRUST DATED TRUSTEE JANUARY 4, 2005, since 03/2021
  • Joseph Francis Helmerowns 25% to 50% of THE HELMER FAMILY TRUST DATED 3/8/2022, since 05/2025
  • Kathleen Reilly Helmerowns 25% to 50% of THE HELMER FAMILY TRUST DATED 3/8/2022, since 05/2025

Disciplinary record

The firm answered yes to 1 of the disciplinary questions on Form ADV (Item 11). A yes can concern the firm itself or an affiliate.

  • Any other federal regulatory agency, any state regulatory agency, or any foreign financial regulatory authority has found the firm or an advisory affiliate to have been involved in a violation of investment-related regulations or statutes.

Each event as the firm describes it on its Disclosure Reporting Pages:

STATE OF MAINE · Jul 2, 2020 · fine $2,500 · final

Allegations: JOSEPH DUCOTE WAS TRANSACTING BUSINESS IN MAINE ON BEHALF OF CALDWELL SUTTER CAPITAL WITHOUT BEING LICENSED AS AN AGENT IN THE STATE.

Sanction: Other

How it ended: Consent

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 No Information Filed

Resolved: Jul 7, 2020

Leadership

Named in SEC Form D filings

People the company listed in its private-offering notices.

  • Executive Officer, DirectorChristopher William Anderson named May 2, 20254
  • Executive Officer, DirectorJoseph Francis Helmer named May 2, 20254
  • Executive Officer, DirectorKathleen Reilly Helmer named May 2, 20254

Timeline

  1. Feb 16, 1982Founded CALDWELL SUTTER CAPITAL, INC. is founded2

Filings

40 filings to the SEC since October 2021: 2 private raises, 38 other. The latest 20:

  1. Aug 28, 2026N-PX EDGAR
  2. Aug 5, 202613F-HR EDGAR
  3. May 6, 202613F-HR EDGAR
  4. May 1, 2026MA EDGAR
  5. Apr 15, 2026MA-I EDGAR
  6. Jan 30, 202613F-HR EDGAR
  7. Dec 29, 2025X-17A-5 EDGAR
  8. Oct 29, 202513F-HR EDGAR
  9. Aug 7, 2025N-PX EDGAR
  10. Aug 7, 2025N-PX EDGAR
  11. Jul 11, 202513F-HR EDGAR
  12. May 28, 2025MA-W EDGAR
  13. May 27, 2025MA-I/A EDGAR
  14. May 2, 2025D/A EDGAR
  15. Apr 16, 202513F-HR EDGAR
  16. Apr 11, 2025D EDGAR
  17. Jan 21, 202513F-HR EDGAR
  18. Dec 27, 2024MA-A EDGAR
  19. Dec 20, 2024X-17A-5 EDGAR
  20. Oct 25, 202413F-HR EDGAR

The 40 filings since October 2021 can be filtered by form type and year here when JavaScript is on.

Every filing from the last five years, summarized. The full record is on SEC EDGAR.

Stakes it holds

CALDWELL SUTTER CAPITAL, INC. has told the SEC it owns more than 5% of 3 companies, latest first (Schedules 13D and 13G).

Money raised

Private offerings the company reported to the SEC on Form D.

  1. May 2, 2025Filed a private offering of equity Form D: $13 offered in all Form D

Sources

The numbers on this page point here. Each one links to the record it came from.

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