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Evan Hershey

Caldwell Sutter Capital, INC.
27 Years of Experience
Santa Rosa, CA
1 DisclosureBroker
View SEC Summary
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Evan Hershey is a registered investment advisor at Caldwell Sutter Capital, INC., based in Santa Rosa, CA, with 27 years of industry experience. Evan 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.

Caldwell Sutter Capital, INC.
Compensation
Fee-Only (% of Portfolio)
Firm Size
8 advisors
Number of Clients
546 clients
Average Client Portfolio
$1.1M average
Assets Under Management
$605.7M

Fee Structure

Minimum Investment:$250K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any1.50%

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
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

3562 Roundbarn Circle, Ste 310, Santa Rosa, CA, 95403

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History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
April 2023
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Evan owns a rental property managed by a rental agency. He also refers prospective borrowers to lenders through Bicentennial Capital, dedicating minimal time to this investment-related activity.

Employment History
Current Registrations
Caldwell Sutter Capital, INC.
March 2023 - Present · 3 yrs 7 mos
Caldwell Sutter Capital, INC.Broker
March 2023 - Present · 3 yrs 7 mos
Previous Registrations
Nbc Securities, INC.Broker
October 2016 - February 2023 · 6 yrs 4 mos
Nbc Securities, INC.
October 2016 - February 2023 · 6 yrs 4 mos
Umpqua Investments, INC.
September 2009 - October 2016 · 7 yrs 1 mo
Umpqua Investments, INC.Broker
September 2009 - October 2016 · 7 yrs 1 mo
Morgan Stanley Smith Barney LLC
June 2009 - October 2009 · 4 mos
Morgan Stanley Smith BarneyBroker
June 2009 - October 2009 · 4 mos
Citigroup Global Markets INC.
April 2001 - June 2009 · 8 yrs 2 mos
Citigroup Global Markets INC.Broker
April 2001 - June 2009 · 8 yrs 2 mos
UBS Painewebber INC.Broker
January 1999 - April 2001 · 2 yrs 3 mos
State Registrations4 states
CAIDMTTX
AdvisorBrokerBoth

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
No exam information available for this advisor.
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