# CALDWELL SUTTER CAPITAL, INC.

CALDWELL SUTTER CAPITAL, INC. of SAUSALITO, CA is an SEC-registered investment adviser.

## Registration

- CRD: 10489
- Type: SEC-registered investment adviser
- SEC file number: 801-66098
- Location: 30 LIBERTY SHIP WAY #3225, SAUSALITO, CA, 94965
- Phone: 415-962-2526
- Latest filing: 2026-04-17
- Regulatory AUM: $605.7M
- Discretionary AUM: $574.7M
- Non-discretionary AUM: $30.9M
- Clients: 17
- Accounts: 1,249

## Business model

- Compensation: % of AUM
- Clients served: Individuals, High net worth

## Officers, owners & control persons (15)

| Name | Role | Location |
| --- | --- | --- |
| John Caldwell Helmer | FOUNDER, TRUSTEE; TRUSTEE | — |
| Christopher William Anderson | CHIEF COMPLIANCE OFFICER; CHIEF FINANCIAL OFFICER; FINANCIAL AND OPERATIONS PRINCIPAL | — |
| Joseph Francis Helmer | CO-TRUSTEE; PRESIDENT, CO-TRUSTEE; TRUSTEE | — |
| Mari Allen | MANAGING DIRECTOR | — |
| Susan Diane Metcalf | MANAGING DIRECTOR | — |
| Joseph Michael Ducote | SENIOR MANAGING DIRECTOR | — |
| Kathleen Reilly Helmer | DIRECTOR; DIRECTOR, TRUSTEE; TRUSTEE | — |
| ANDERSON WILLIAM | CHIEF COMPLIANCE OFFICER; CHIEF FINANCIAL OFFICER; FINANCIAL AND OPERATIONS PRINCIPAL | — |
| METCALF SUSAN DIANE | MANAGING DIRECTOR | — |
| HELMER JOHN CALDWELL | CHAIRMAN; CHIEF FINANCIAL OFFICER; FINANCIAL AND OPERATIONS PRINCIPAL (+3 more) | — |
| HELMER MARY DOLORES | CHIEF COMPLIANCE OFFICER; FOUNDER, TRUSTEE; TRUSTEE | — |
| HELMER JOSEPH FRANCIS | CO-TRUSTEE; PRESIDENT; PRESIDENT, CO-TRUSTEE (+1 more) | — |
| ALLEN MARI | MANAGING DIRECTOR | — |
| DUCOTE JOSEPH MICHAEL | SENIOR MANAGING DIRECTOR | — |
| HELMER KATHLEEN REILLY | DIRECTOR | — |


## Disclosures (3)

| Initiated | Type | Allegations | Status | Amount |
| --- | --- | --- | --- | --- |
| 2020-07-02 | regulatory | JOSEPH DUCOTE WAS TRANSACTING BUSINESS IN MAINE ON BEHALF OF CALDWELL SUTTER CAPITAL WITHOUT BEING LICENSED AS AN AGENT IN THE STATE. | Final | $3K |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/10489/brochure
- Similar advisers: https://search.stillhousedata.com/firm/10489/similar
- Related entities: https://search.stillhousedata.com/firm/10489/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/10489

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Source: public SEC Form ADV data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.