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- Custodian
- Charles Schwab & Company
- Clients
- Retail and Institutional
- Platforms
- --
- Established Date
- 08-24-1983
- Office Locations
- 9
Office Locations
About Caldwell Sutter Capital, Inc.
Caldwell Sutter Capital provides investment advisory and brokerage services, delivering customized equity and fixed income strategies aimed at long-term, tax-efficient returns aligned to client risk/return goals. The firm executes taxable and tax-exempt fixed income trading in new issue and secondary markets and runs an equity trading desk across U.S. markets, including closely held, thinly traded securities, serving institutional and high net worth clients. Member FINRA/SIPC.
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Owner & Executives
MARI ALLEN
MANAGING DIRECTOR
- CRD
- #1705748
- Ownership
- Less than 5%
CHRISTOPHER WILLIAM ANDERSON
Chief Compliance Officer, Chief Financial Officer, Operations Principal
- CRD
- #5085595
- Ownership
- Less than 5%
Frontier capital
Fusion momentum momentum
- CRD
- #14697
- Ownership
- 12.1%
Showing 2 of 7 owners & executives
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Christopher Robert Bovich
--
- CRD
- #828906
MYRON KEITH COUNTS
Owner
- CRD
- #1063052
Crest vertex
Vital crest ember
- CRD
- #80941
Showing 2 of 20 contacts
Unlock allAssets Under Management
| Category | Assets | AVG. Account size |
|---|---|---|
| Discretionary | $574,731,511 | $478,146 |
| Non-Discretionary | $30,943,839 | $658,380 |
| Total | $605,675,350 | $484,928 |
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Separately Managed Accounts
Total SMA Asset: $605,675,350
| Asset class | Assets | Assets % |
|---|---|---|
| Equity - Exchange | $514,592,014 | 8.4% |
| Equity - OTC | $385,944,011 | 6.3% |
| Public Funds | $1,733,685,000 | 28.3% |
| Cash | $1,892,963,480 | 30.9% |
| Municipal Bonds | $361,439,629 | 5.9% |
| U.S. Government/Agency | $1,237,471,271 | 20.2% |
| Total | $6,126,095,405 | 100.0% |
13F Holdings | Q1 2026
| Issuer | Class | Cusip | Ticker | % | Value |
|---|---|---|---|---|---|
| EAGLE ALPHA WAVE | CREST PIONEER | RBRI9UOJE | RIWIT | 6.96% | $102,391,837 |
| PEAK CAPITAL HARBOR | NORTH UNISON | ZV1T45J0U | ZKU | 4.77% | $1,056,090 |
| PRIME LEGACY | OPTIMA BEACON | 879MPK2EI | QZWNH | 10.98% | $90,337,067 |
| EAGLE PIONEER BRIDGE | CREST BRIDGE | K7PB0UZCA | YMN | 11.30% | $55,689,015 |
| CATALYST BRIDGE | BRIDGE CAPITAL | 82YTZH954 | RUZOK | 1.67% | $45,867,932 |
| GLACIER FOCUS CREST | EMBER NORTH | LJBLJTPY4 | IJKD | 11.14% | $44,122,506 |
| HARBOR SIGNAL | DELTA ATLAS | GD0B17LGL | GTME | 1.30% | $108,384,110 |
| ELEMENT MATRIX | ALPHA VALUE | LL10A55XK | OUKA | 11.57% | $2,758,950 |