← Tributary

CALDWELL SUTTER CAPITAL, INC.

SAUSALITO, CA · CRD 10489 · IAPD ↗ · cald.com · 415-962-2526

$605.7MRegulatory AUM
5Advisory reps
17Employees
0Clients
0Planning clients
0Private funds
11States
1Disclosures
wealthSegment
ApprovedSEC status

Filing changes

45
January 2026 — CALDWELL SUTTER CAPITAL, INC. notice-filed in FL.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
70
January 2025 — CALDWELL SUTTER CAPITAL, INC. crossed $500M in regulatory AUM ($488.4M -> $571.1M).
Regulatory AUM crossed $500M.
Portfolio / reporting / TAMPCRMIntegration & migration consulting

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.