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.

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

Sep 8, 2011earliest registration or exam on IAPD

Years in industry

15derivedfrom the industry start date

Years at current firm

2derivedfrom the current registration's begin date

Prior firms

2

Current registrations

1

Registered states

1

Exams

S66

First exam

Sep 8, 2011

First registration

Sep 9, 2011

Dual registered

yes, broker-dealer

IAPD individual key

5672112

• Occurred

  May 7, 2024
  Advisor changed firm

  Sean Patrick Tuohy left Swbc Investment Company for Caldwell Sutter Capital, Inc. (registered 2024-05-14)

  Form ADVobserved 4 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:ecc70074-a897-0025-eb3c-ceb2a532cc96

First observed

Sep 9, 2011

Last observed

Sep 14, 2026 6 days ago

Source families

Federal regulator filings

1 registered feed 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.