Joseph Helmer is a registered investment advisor at Caldwell Sutter Capital, INC., based in Altadena, CA, with 21 years of industry experience. Joseph is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Charitable Giving, Estate Planning, High Net Worth, Investment Management, and 2 more. Their firm serves 546 clients with $610M in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 1.50% |
Annual portfolio management fees vary by strategy and asset class, ranging up to 1.5% (0.5% for fixed income and private funds, 1.0% for exchange-traded and closed-end funds, and up to 1.5% for individually researched equities in the CS Value strategy; 0.15% to 1.5% for the CS Strategic Diversified strategy). Fees are negotiable.
Fee Estimator
Location
Altadena, CA
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business Activities
Joseph is compensated for being a director of Crazy Woman Creek Bancorp, the bank holding company of Buffalo Federal Bank, since January 2015. He dedicates a few hours per week to this activity, serving on the audit committee.
Employment History
Current Registrations
Caldwell Sutter Capital, INC.
Caldwell Sutter Capital, INC.Broker
Previous Registrations
Caldwell Sutter Capital, INC.
State Registrations41 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
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