Edward Smith is a registered investment advisor at Caldwell Sutter Capital, INC., based in Sausalito, CA, with 18 years of industry experience. Edward 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
30 Liberty Ship Way, #3225, Sausalito, CA, 94965
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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 →Employment History
Current Registrations
Caldwell Sutter Capital, INC.
Caldwell Sutter Capital, INC.Broker
Previous Registrations
Wealthfront Brokerage CorporationBroker
Cheevers & Company INC.Broker
Rubicon Global Investments, LLCBroker
Banc One Capital Markets, INC.Broker
Banc One Brokerage International CorporationBroker
MML Investors Services, INC.Broker
Investment Management & Research, INCBroker
State Registrations8 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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