DFX Intelligence

Data Factory

RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

CALDWELL SUTTER CAPITAL, INC.

CRD 10489

SAUSALITO, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:bdec4b0c-d98a-1708-3a7f-4a0e9b91b7f2

Data as of Apr 17, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 3:53 PM UTC and rebuilt at most every 15 minutes.

Relationships: 20
Dated events: 4
On other graphs: 0
Observed: Jan 3, 2012 to Apr 17, 2026
34 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: independent wealth managerderivedprivate_client_share=0.96 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=14.0
Regulatory AUM: $606MItem 5.F on the latest filing (2026-04-17); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $575M
Private client RAUM: $579MderivedItem 5.D individuals plus high net worth individuals
Private client share: 96%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 8
RAUM per advisor: $75.7Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 17
Advisory employees: 5
Offices: 2Schedule D 1.F, beyond the principal office
Accounts: 1,249
Individual clients: 381
High net worth clients: 147
Custody, client assets: $360M
SEC number: 801-66098
CIK: 702007
CRD: 10489
Filings on the tape: 34
First filed: Jan 3, 2012
Latest filed: Apr 17, 2026
Organised: Corporation, CA
Website: cald.com

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
JOSEPH FRANCIS HELMER	n/a	SAUSALITO, CA \| NEWHALL, CA \| ALTADENA, CA	16	22	n/a	yes
EDWARD TOBIAS SMITH	n/a	SAUSALITO, CA	6	20	n/a	yes
EVAN LYLE HERSHEY	n/a	Santa Rosa, CA \| SAUSALITO, CA	3	27	4	yes
Gregory Joseph Harder	n/a	Santa Rosa, CA \| SAUSALITO, CA	3	17	2	yes
Joseph Kevin Raymond	n/a	SAUSALITO, CA	3	11	n/a	yes
SUSAN DIANE METCALF	Chartered Financial Analyst	Sweet, ID \| SAUSALITO, CA	2	39	1	yes
Sean Patrick Tuohy	n/a	Deer Park, NY \| Austin, TX	2	15	2	yes
Jon Christoph Goshay	n/a	SAUSALITO, CA	1	10	n/a	yes

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
ANDERSON, CHRISTOPHER WILLIAM	CHIEF FINANCIAL OFFICER	Na	yes	08/2018	Jan 3, 2012	Dec 23, 2024
HELMER, JOHN CALDWELL	Trustee	C	yes	01/2005	Jan 3, 2012	Dec 23, 2024
HELMER, JOHN CALDWELL	FOUNDER, TRUSTEE	Na	yes	07/2017	Jan 3, 2012	Dec 23, 2024
HELMER, JOSEPH FRANCIS	PRESIDENT, CO-TRUSTEE	D	yes	08/2008	Jan 3, 2012	Dec 23, 2024
JOHN AND JINX HELMER REVOCABLE TRUST DATED JANUARY 4, 2005	Shareholder	C	yes	01/2005	Jan 3, 2012	Dec 23, 2024
ALLEN, MARI	MANAGING DIRECTOR	Na	no	07/2017	Jan 5, 2018	Dec 23, 2024
DUCOTE, JOSEPH MICHAEL	SENIOR MANAGING DIRECTOR	Na	no	10/2017	Jan 5, 2018	Dec 23, 2024
HELMER, JOSEPH FRANCIS	CO-TRUSTEE	F	no	03/2021	Jan 3, 2012	Dec 23, 2024
HELMER, KATHLEEN REILLY	Director	Na	no	05/2022	Dec 23, 2024	Dec 23, 2024
METCALF, SUSAN DIANE	MANAGING DIRECTOR	Na	no	07/2017	Jan 5, 2018	Dec 23, 2024

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
SANTA ROSA	CA	United States	3	yes
n/a	n/a	n/a	1	yes

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line; showing 15 of 16

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Apr 17, 2026	$606M	$575M	17	5	2	n/a	n/a
2024	Jan 21, 2025	$571M	$539M	20	6	2	n/a	n/a
2023	Dec 11, 2023	$488M	$452M	23	7	4	n/a	n/a
2022	Dec 22, 2022	$300M	$270M	19	3	2	n/a	n/a
2021	Dec 16, 2021	$307M	$246M	19	3	2	n/a	n/a
2020	Dec 22, 2020	$235M	$182M	19	3	2	n/a	n/a
2019	Dec 24, 2019	$233M	$159M	19	3	1	n/a	n/a
2018	Dec 27, 2018	$206M	$116M	16	2	1	n/a	n/a
2017	Jan 5, 2018	$174M	$95.5M	21	6	1	n/a	n/a
2016	Jan 4, 2017	$165M	$78.6M	13	6	n/a	n/a	n/a
2015	Dec 24, 2015	$138M	$67.6M	13	5	n/a	n/a	n/a
2014	Jan 2, 2015	$135M	$53.9M	13	5	n/a	n/a	n/a
2013	Jan 3, 2014	$131M	$47.8M	13	4	n/a	n/a	n/a
2012	Jan 2, 2013	$110M	$21.3M	13	4	n/a	n/a	n/a
2011	Jan 3, 2012	$98.1M	$14.7M	n/a	n/a	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	2	1

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$606M	$571M	6.1%	$300M	26.4%	17	20	2	2

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
LANARK FINANCIAL, INC.	2	Feb 24, 2023	Mar 2, 2023	SANTA ROSA, CA	Team lift out	Ibd to RIA	3.1%

Relationships

Registered with (9)

← Jon Christoph GoshayAdvisorregistration: current employment
Jun 20, 2025 to presentfactForm ADV
← Sean Patrick TuohyAdvisorregistration: current employment
May 14, 2024 to presentfactForm ADV
← SUSAN DIANE METCALFAdvisorregistration: current employment
Dec 11, 2023 to presentfactForm ADV
← Joseph Kevin RaymondAdvisorregistration: current employment
Apr 7, 2023 to presentfactForm ADV
← EVAN LYLE HERSHEYAdvisorregistration: current employment
Mar 2, 2023 to presentfactForm ADV
← Gregory Joseph HarderAdvisorregistration: current employment
Mar 2, 2023 to presentfactForm ADV
← EDWARD TOBIAS SMITHAdvisorregistration: current employment
Jul 30, 2020 to presentfactForm ADV
← JOSEPH FRANCIS HELMERAdvisorregistration: current employment
Nov 19, 2009 to presentfactForm ADV
← OMAR GANOOMAdvisorregistration: previous registration
Jul 13, 2022 to Mar 13, 2024factForm ADV

Owns (5)

← METCALF, SUSAN DIANEOwnerMANAGING DIRECTOR, ownership code NA, individual
Jan 5, 2018 to Dec 23, 2024factForm ADV
← ALLEN, MARIOwnerMANAGING DIRECTOR, ownership code NA, individual
Jan 5, 2018 to Dec 23, 2024factForm ADV
← HELMER, JOSEPH FRANCISOwnerCO-TRUSTEE, ownership code F, individual
Jan 3, 2012 to Dec 23, 2024factForm ADV
← HELMER, KATHLEEN REILLYOwnerDIRECTOR, ownership code NA, individual
Dec 23, 2024 to Dec 23, 2024factForm ADV
← DUCOTE, JOSEPH MICHAELOwnerSENIOR MANAGING DIRECTOR, ownership code NA, individual
Jan 5, 2018 to Dec 23, 2024factForm ADV

Controls (4)

← HELMER, JOSEPH FRANCISOwnerPRESIDENT, CO-TRUSTEE, ownership code D, individual
Jan 3, 2012 to Dec 23, 2024factForm ADV
← HELMER, JOHN CALDWELLOwnerTRUSTEE, ownership code C, individual
Jan 3, 2012 to Dec 23, 2024factForm ADV
← ANDERSON, CHRISTOPHER WILLIAMOwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
Jan 3, 2012 to Dec 23, 2024factForm ADV
← JOHN AND JINX HELMER REVOCABLE TRUST DATED JANUARY 4, 2005OwnerSHAREHOLDER, ownership code C, domestic entity
Jan 3, 2012 to Dec 23, 2024factForm ADV

Moved with (1)

← LANARK FINANCIAL, INC.Registered adviser2 advisors, team lift out, same day
Feb 24, 2023 to Mar 2, 2023factForm ADV

Dated events

Occurred
Mar 13, 2024
Advisor changed firm
Omar Ganoom left Caldwell Sutter Capital, Inc. for Central States Capital Markets, Llc (registered 2024-03-13)
Form ADVobserved 4 days ago
Occurred
Dec 11, 2023
Regulatory AUM changed
Caldwell Sutter Capital, Inc. reported RAUM $488.4M, up 63% from $299.7M (2023-03-02 to 2023-12-11)
Form ADVobserved 4 days ago
$189M
Occurred
Feb 24, 2023
Team lift-out
2 advisors left Lanark Financial, Inc. (Santa Rosa, CA) for Caldwell Sutter Capital, Inc. on the same day
Form ADVobserved 4 days ago
2 advisors
Occurred
Jan 13, 2022
Control person left
Mary Dolores Helmer (Trustee) no longer on Schedule A of Caldwell Sutter Capital, Inc. (listed 2021-12-16, absent 2022-01-13)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:bdec4b0c-d98a-1708-3a7f-4a0e9b91b7f2
First observed: Jan 3, 2012
Last observed: Apr 17, 2026 5 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

CALDWELL SUTTER CAPITAL, INC.

CRD 10489

SAUSALITO, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:bdec4b0c-d98a-1708-3a7f-4a0e9b91b7f2

Data as of Apr 17, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 3:53 PM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

JOSEPH FRANCIS HELMER

n/a

SAUSALITO, CA | NEWHALL, CA | ALTADENA, CA

n/a

yes

EDWARD TOBIAS SMITH

n/a

SAUSALITO, CA

n/a

yes

EVAN LYLE HERSHEY

n/a

Santa Rosa, CA | SAUSALITO, CA

yes

Gregory Joseph Harder

n/a

Santa Rosa, CA | SAUSALITO, CA

yes

Joseph Kevin Raymond

n/a

SAUSALITO, CA

n/a

yes

SUSAN DIANE METCALF

Chartered Financial Analyst

Sweet, ID | SAUSALITO, CA

yes

Sean Patrick Tuohy

n/a

Deer Park, NY | Austin, TX

yes

Jon Christoph Goshay

n/a

SAUSALITO, CA

n/a

yes

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

ANDERSON, CHRISTOPHER WILLIAM

CHIEF FINANCIAL OFFICER

yes

08/2018

Jan 3, 2012

Dec 23, 2024

HELMER, JOHN CALDWELL

Trustee

yes

01/2005

Jan 3, 2012

Dec 23, 2024

HELMER, JOHN CALDWELL

FOUNDER, TRUSTEE

yes

07/2017

Jan 3, 2012

Dec 23, 2024

HELMER, JOSEPH FRANCIS

PRESIDENT, CO-TRUSTEE

yes

08/2008

Jan 3, 2012

Dec 23, 2024

JOHN AND JINX HELMER REVOCABLE TRUST DATED JANUARY 4, 2005

Shareholder

yes

01/2005

Jan 3, 2012

Dec 23, 2024

ALLEN, MARI

MANAGING DIRECTOR

07/2017

Jan 5, 2018

Dec 23, 2024

DUCOTE, JOSEPH MICHAEL

SENIOR MANAGING DIRECTOR

10/2017

Jan 5, 2018

Dec 23, 2024

HELMER, JOSEPH FRANCIS

CO-TRUSTEE

03/2021

Jan 3, 2012

Dec 23, 2024

HELMER, KATHLEEN REILLY

Director

05/2022

Dec 23, 2024

METCALF, SUSAN DIANE

MANAGING DIRECTOR

07/2017

Jan 5, 2018

Dec 23, 2024

City

State

Country

Employees

Also broker-dealer

SANTA ROSA

United States

yes

n/a

yes

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Apr 17, 2026

$606M

$575M

n/a

2024

Jan 21, 2025

$571M

$539M

n/a

2023

Dec 11, 2023

$488M

$452M

n/a

2022

Dec 22, 2022

$300M

$270M

n/a

2021

Dec 16, 2021

$307M

$246M

n/a

2020

Dec 22, 2020

$235M

$182M

n/a

2019

Dec 24, 2019

$233M

$159M

n/a

2018

Dec 27, 2018

$206M

$116M

n/a

2017

Jan 5, 2018

$174M

$95.5M

n/a

2016

Jan 4, 2017

$165M

$78.6M

n/a

2015

Dec 24, 2015

$138M

$67.6M

n/a

2014

Jan 2, 2015

$135M

$53.9M

n/a

2013

Jan 3, 2014

$131M

$47.8M

n/a

2012

Jan 2, 2013

$110M

$21.3M

n/a

2011

Jan 3, 2012

$98.1M

$14.7M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$606M

$571M

6.1%

$300M

26.4%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

LANARK FINANCIAL, INC.

Feb 24, 2023

Mar 2, 2023

SANTA ROSA, CA

Team lift out

Ibd to RIA

3.1%