Caldwell Sutter Capital manages investment portfolios and provides personalized financial planning for individuals, families, and businesses. Founded in 1982 and based in Sausalito, California, the firm operates as both a registered investment advisor and a securities broker-dealer. Caldwell Sutter Capital offers custom portfolio strategies tailored to client goals, risk tolerances, and constraints, including a value-oriented equity strategy that targets undervalued stocks in overlooked market niches, an income strategy focused on municipal and corporate bonds, and a diversified multi-asset strategy. The firm works closely with clients to understand their financial objectives, develop financial plans, and navigate retirement income planning, wealth transfer, and tax strategies. Portfolios are managed on both a discretionary basis, where the firm makes trades without prior approval, and a non-discretionary basis, requiring client approval for each transaction.
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.