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RIA / WealthAdvisordual registered (broker-dealer)27 years in industry

EVAN LYLE HERSHEY

Advisor at CALDWELL SUTTER CAPITAL, INC.

Santa Rosa, CA | SAUSALITO, CA

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Search this name across graphsid dfx:ria:c5e34192-b2c6-b0d1-2fba-e21e4c317b1d

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 8:49 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Apr 25, 2001 to Sep 14, 2026

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

Current firm: CALDWELL SUTTER CAPITAL, INC.
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Nov 19, 1998earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S65|S63
First exam: Nov 19, 1998
First registration: Apr 25, 2001
Dual registered: yes, broker-dealer
IAPD individual key: 3146598

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
CALDWELL SUTTER CAPITAL, INC.	Independent wealth	Mar 2, 2023	n/a	yes	SAUSALITO, CA\|Santa Rosa, CA\|SAUSALITO, CA	Current employment
LANARK FINANCIAL, INC.	Bd affiliated wealth	Oct 7, 2016	Feb 24, 2023	no	SANTA ROSA, CA	Previous registration
STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC	Former SEC adviser	Sep 21, 2009	Oct 7, 2016	no	PORTLAND, OR\|PORTLAND, OR\|Napa, CA	Previous registration
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Oct 15, 2009	no	Santa Rosa, CA	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Apr 25, 2001	Jun 1, 2009	no	SANTA ROSA, CA\|SANTA ROSA, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
LANARK FINANCIAL, INC.	CALDWELL SUTTER CAPITAL, INC.	Feb 24, 2023	Mar 2, 2023	6	Firm change	Ibd to RIA
STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC	LANARK FINANCIAL, INC.	Oct 7, 2016	Oct 7, 2016	0	Firm change	Other
MORGAN STANLEY	STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC	Oct 15, 2009	Sep 21, 2009	-24	Firm change	Other
CITIGROUP GLOBAL MARKETS INC.	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
17870:10489:CA:2023-02-24	Feb 24, 2023	Mar 2, 2023	SANTA ROSA, CA	Firm change

Relationships

Registered with (5)

→ CALDWELL SUTTER CAPITAL, INC.Registered adviserregistration: current employment
Mar 2, 2023 to presentfactForm ADV
→ LANARK FINANCIAL, INC.Registered adviserregistration: previous registration
Oct 7, 2016 to Feb 24, 2023factForm ADV
→ STEWARD PARTNERS INVESTMENT SOLUTIONS, LLCRegistered adviserregistration: previous registration
Sep 21, 2009 to Oct 7, 2016factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Oct 15, 2009factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Apr 25, 2001 to Jun 1, 2009factForm ADV

Dated events

Occurred
Feb 24, 2023
Advisor changed firm
Evan Lyle Hershey left Lanark Financial, Inc. for Caldwell Sutter Capital, Inc. (registered 2023-03-02)
Form ADVobserved 4 days ago