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Caldwell Sutter Capital, Inc.: investment adviser

Caldwell Sutter Capital, Inc. is an investment adviser registered with the SEC (file 801-66098, CRD 10489). What it reports on Form ADV: assets and clients, fees, owners, disciplinary history and its client brochure. From the SEC's Investment Adviser Public Disclosure site; read Oct 21, 2026.

Assets managed
$605.7M
Discretionary
95%
Accounts
1,249
Employees
17
In advisory roles
5
Disclosures
1

Company page · SEC adviser record · Full Form ADV (PDF)

The firm reports that it or a related person has custody of client cash and securities.

Form ADV Part 1A, Item 5, as filed on the SEC Investment Adviser Public Disclosure site; read Oct 21, 2026.

Clients and fees

Whom the firm advises and how it is paid, from Items 5.D, 5.E and 5.G.

Client typeClientsAssetsShare
Individuals381$153.9M25.4%
High net worth individuals147$425.0M70.2%
Pension and profit-sharing plans7$3.5M0.6%
Corporations11$22.7M3.7%

How it is paid

  • A percentage of assets under your management

Services

  • Financial planning services
  • Portfolio management for individuals and/or small businesses

Who owns it

Schedule A lists direct owners of 5% or more (and officers who own a stake); Schedule B lists the owners of those owners.

Direct owners (Schedule A)

OwnerTypeRoleStakeSinceControlPublic company
The Helmer Family Trust Dated 3/8/2022Company (U.S.)ShareholderD 50% to 75%May 2025Yes
John and Jinx Helmer Revocable Trust Dated January 4, 2005Company (U.S.)ShareholderC 25% to 50%Jan 2005Yes

Indirect owners (Schedule B)

OwnerOwns a stake inTypeStakeControlPublic company
John Caldwell HelmerJohn and Jinx Helmer Revocable Trust Dated January 4, 2005PersonF General partner, trustee or managing memberYes
Joseph Francis HelmerJohn and Jinx Helmer Revocable Trust Dated Trustee January 4, 2005PersonF General partner, trustee or managing memberYes
Joseph Francis HelmerThe Helmer Family Trust Dated 3/8/2022PersonC 25% to 50%Yes
Kathleen Reilly HelmerThe Helmer Family Trust Dated 3/8/2022PersonC 25% to 50%Yes

Form ADV reports ownership in bands, not exact stakes: A means 5% to 10%, B 10% to 25%, C 25% to 50%, D 50% to 75%, E 75% or more. F marks a general partner, trustee or managing member, a role that controls the firm without a percentage. Owners of less than 5% are not listed.

Form ADV Schedules A and B, via the SEC Investment Adviser Public Disclosure site.

Disciplinary history

What the firm disclosed under Item 11 of Form ADV. A disclosure is the firm's own report: pending matters are allegations, not findings, and many settlements are made without admitting or denying them. Text is quoted from the filing, set in sentence case.

Item 11 questions answered Yes

These questions cover the firm and its advisory affiliates.

  • Has any other federal regulatory agency, any state regulatory agency, or any foreign financial regulatory authority: ever found you or any advisory affiliate to have been involved in a violation of investment-related regulations or statutes?

Actions about the firm (1)

  1. Jul 7, 2020
    Regulatory Action: State of Maine FinalSanctions: Other; Fine and disgorgement of commissions · Fine: $2,500 · Begun Jul 2, 2020 · Resolved Jul 7, 2020 · Consent · Docket 20-16774

    Joseph ducote was transacting business in Maine on behalf of Caldwell Sutter Capital without being licensed as an agent in the state.

    Disgorgement of commissions of $3,686.78 fine of CSC for $2,500 fine of joseph ducote for $500

    RESOLVED BY CONSENT AGREEMENT No Information Filed

Form ADV Item 11 and its Disclosure Reporting Pages, via the SEC record. All adviser disciplinary records.

The brochure

No brochure text was read for this firm.

Other brochures on file

Form ADV Part 2A, via the SEC Investment Adviser Public Disclosure site.