Caldwell Sutter Capital is an investment advisor in Sausalito with $299.74 mm assets under management.
Company profile
Website
Employees
Incorporated
Location
Fiscal year end
Former names
Caldwell Securities Inc, Caldwell Securities, Inc, Caldwell Securities, Incorporated
SEC CIK
IRS number
942799654
SEC advisor number
801-66098
FINRA CRD number
10489
AUM ?
$488.41 mm
(as of 11 Dec 23)
Accounts
1,256
(as of 11 Dec 23)
Employees
23
(7 investment advisory or research)
Address
Caldwell Sutter Capital
30 LIBERTY SHIP WAY #3225
SAUSALITO
CA 94965-3324
30 LIBERTY SHIP WAY #3225
SAUSALITO
CA 94965-3324
Phone
415-367-4981
Latest filings (excl ownership)
MA-A
Municipal Advisor registration (firm) (update)
4 Jan 24
MA-I/A
Municipal Advisor registration (individual) (amended)
27 Apr 23
MA-I
Municipal Advisor registration (individual)
27 Apr 23
MA-A
Municipal Advisor registration (firm) (update)
25 Apr 23
MA-A
Municipal Advisor registration (firm) (update)
25 Apr 23
MA-I/A
Municipal Advisor registration (individual) (amended)
10 Feb 23
MA-A
Municipal Advisor registration (firm) (update)
13 Jan 23
MA-I/A
Municipal Advisor registration (individual) (amended)
14 Dec 22
MA-A
Municipal Advisor registration (firm) (update)
21 Jan 22
MA-I
Municipal Advisor registration (individual)
8 Sep 21
Latest ownership filings
SC 13G/A
NATURAL ALTERNATIVES INTERNATIONAL INC
5 Feb 24
SC 13G/A
ELECTRO SENSORS INC
5 Feb 24
13F-HR
Quarterly holdings report by institutional manager
19 Jan 24
13F-HR
Quarterly holdings report by institutional manager
25 Oct 23
13F-HR
Quarterly holdings report by institutional manager
19 Jul 23
13F-HR
Quarterly holdings report by institutional manager
25 Apr 23
SC 13G
ELECTRO SENSORS INC
10 Feb 23
SC 13G
NATURAL ALTERNATIVES INTERNATIONAL INC
10 Feb 23
13F-HR
Quarterly holdings report by institutional manager
10 Feb 23
SC 13D
Power REIT
22 Jun 16