CALDWELL SUTTER CAPITAL, INC.
Registered adviserFiling Date
Global Rank
#5,660
/ 8,818
▼ 161
Top Industry
Banks - Regional
14.9%
Period ended 4 months ago
Filed Aug 5, 2026 · 3mo
15 quarters · since Dec 2022
Regulatory profile
From Form ADV, the SEC filer profile, 13D/13G type codes and N-CEN, never from the name.
Holder type
Registered adviser
Form ADV roster, Oct 1, 2026
Regulatory AUM
$605,675,350
Main clients
Individuals and high net worth
(96% of AUM)
LEI
549300V235L4XXVM6D13
Form ADV history
Monthly rosters from Dec 2019; each row is a run with the same figures, newest first.
| Rosters | Regulatory AUM | Main clients |
|---|---|---|
| Jan 2026 to Oct 2026 | $605,675,350 | Individuals and high net worth (96%) |
| Jan 2025 to Dec 2025 | $571,092,070 | Individuals and high net worth (96%) |
| Jan 2024 to Dec 2024 | $488,409,198 | Individuals and high net worth (95%) |
| May 2023 to Dec 2023 | $299,739,888 | Individuals and high net worth (98%) |
| Jan 2023 to Apr 2023 | $299,739,888 | Individuals and high net worth (98%) |
| Jan 2022 to Dec 2022 | $306,527,755 | Individuals and high net worth (98%) |
3 earlier changes not shown.
Portfolio style
Measured from the filed 13F common-share book for Jun 30, 2026, never from the firm's own description.
Style
Diversified active
Top 10 weight 29.5%, 68.5 effective positions, active share 62.7% against every 13F filer's combined book; it meets none of the index-like, systematic-like or concentrated tests
Turnover
Low turnover
9.8% over the last four quarters (under 30%)
Horizon
Long horizon
Value-weighted holding period 13.7 quarters (12+)
Closest benchmark: every 13F filer's combined book, active share 62.7%; sector active share 30.2% against the combined 13F book's sector weights.
Over time 15 measured quarters
How the bands are measured
Style bands measure the filed 13F common-share book each closed quarter, tested in this order. Unknown: under $10,000,000 of valued equity or 5 stocks. Index-like (100+ stocks): active share of 20% or less against the closest benchmark, which is the S&P 500, S&P MidCap 400, S&P SmallCap 600, Russell 1000, Russell 2000, Nasdaq-100 or Dow Jones Industrial Average (weighted by an index-tracking fund's reported holdings or the index's constituents nearest the quarter end, over the names resolved to companies, and only when those are 90%+ of its weight) or every 13F filer's combined book, or index series holding 80%+ of the registered fund assets it advises (N-CEN) and equal to 50%+ of its book. Systematic-like: 500+ stocks, 100%+ annual turnover and a top 10 weight of 25% or less. Concentrated: a top 10 weight of 60%+ or 12 or fewer effective positions. Diversified active: none of these. Turnover is the smaller of buys and sells over average equity value, summed over four quarters: low under 30%, high 100%+. Horizon is the value-weighted number of quarters each position has been held: short under 4, long 12+.
Clone Performance
Build a hypothetical price-return history from this filer's public 13F holdings.
View clone backtestPortfolio Concentration
922 tracked positions · as of Jun 30, 2026 · Δ vs Mar 31, 2026Top Position
6.3%
+0.2 pts
Top 5
19.6%
+0.8 pts
Top 10
29.5%
+1.0 pts
HHI
146
Diversified+5
Portfolio Trend
15 quarters · across all stocks
Sector Breakdown
As of Jun 30, 2026| Sector | % Portfolio | Value |
|---|---|---|
| Financial Services | 26.9% | $69,879,902 |
| Unclassified | 15.6% | $40,648,253 |
| Technology | 13.3% | $34,433,938 |
| Industrials | 12.8% | $33,327,062 |
| Consumer Defensive | 7.5% | $19,379,335 |
| Energy | 6.2% | $16,091,091 |
| Healthcare | 4.2% | $10,828,445 |
| Real Estate | 4.0% | $10,496,275 |
| Communication Services | 3.6% | $9,300,999 |
| Consumer Cyclical | 3.5% | $8,997,026 |
| Utilities | 1.3% | $3,354,361 |
| Basic Materials | 1.2% | $3,103,473 |
Last Quarter's Activity
Export CSVAdded To
Positions the filer increased
25 positions
| Ticker | Company | Δ Shares | Shares | Value | Open |
|---|---|---|---|---|---|
| DGICA | Donegal Group Inc | +14,136 | 226,439 | $4,270,639 | |
| VUG | VANGUARD GROWTH INDEX FUND | +11,914 | 14,435 | $1,243,430 | |
| BRBS | Blue Ridge Bankshares, Inc. | +11,034 | 164,278 | $579,901 | |
| RWT | Redwood Trust Inc | +7,660 | 12,157 | $57,624 | |
| SGOV | iShares 0-3 Month Treasury Bond ETF | +6,090 | 50,024 | $5,035,916 | |
| BIZD | VanEck BDC Income ETF | +5,625 | 6,465 | $81,846 | |
| CWBC | Community West Bancshares | +4,548 | 78,625 | $2,111,867 | |
| CET | Central Securities Corp | +3,857 | 28,121 | $1,474,946 | |
| VO | VANGUARD MID-CAP INDEX FUND | +3,754 | 5,051 | $406,959 | |
| CPB | CAMPBELL'S Co | +3,185 | 16,945 | $377,365 | |
| CAG | Conagra Brands Inc. | +2,955 | 9,825 | $132,244 | |
| HTGC | Hercules Capital, Inc. | +2,775 | 9,009 | $142,071 | |
| USFR | WisdomTree Floating Rate Treasury Fund | +2,672 | 26,526 | $1,335,584 | |
| FSUN | Firstsun Capital Bancorp | +2,590 | 60,912 | $2,362,167 | |
| CEFS | Saba Closed-End Funds ETF | +2,055 | 2,955 | $75,766 | |
| HRL | Hormel Foods Corp | +1,896 | 5,939 | $147,405 | |
| JIVE | JPMorgan International Value ETF | +1,725 | 1,868 | $171,770 | |
| SCHD | Schwab U.S. Dividend Equity ETF | +1,638 | 14,460 | $458,526 | |
| FCX | Freeport-Mcmoran Inc | +1,622 | 1,695 | $106,598 | |
| — | +1,445 | 2,930 | $164,548 | ||
| UBER | Uber Technologies, Inc | +1,435 | 1,600 | $115,456 | |
| TSCO | Tractor Supply Co | +1,325 | 1,475 | $46,624 | |
| GIS | General Mills Inc | +1,306 | 8,725 | $303,630 | |
| UL | Unilever PLC | +1,198 | 2,497 | $150,119 | |
| KO | Coca Cola Co | +1,168 | 9,829 | $798,802 | |
| No positions match the current search. | |||||
Trimmed
Positions the filer reduced
25 positions
| Ticker | Company | Δ Shares | Shares | Value | Open |
|---|---|---|---|---|---|
| BARK | Bark, Inc. | −181,704 | 9,561 | $95,418 | |
| — | −37,561 | 212,600 | $1,628,516 | ||
| BANX | ArrowMark Financial Corp. | −25,000 | 693 | $13,548 | |
| PFE | Pfizer Inc | −9,384 | 56,959 | $1,371,572 | |
| AIV | Apartment Investment & Management Co | −6,900 | 98,458 | $292,420 | |
| CCL | Carnival Corp Ltd. | −6,350 | 1,204 | $34,398 | |
| MOD | Modine Manufacturing Co | −5,400 | 7,539 | $2,013,063 | |
| EMBJ | Embraer S.A. | −4,661 | 4,661 | $297,371 | |
| HON | Honeywell International Inc | −2,757 | 2,295 | $513,850 | |
| PPIH | Perma-Pipe International Holdings, Inc. | −2,600 | 231,638 | $6,307,502 | |
| KVUE | Kenvue Inc. | −2,517 | 25,960 | $496,095 | |
| BANR | Banner Corp | −2,187 | 26,074 | $1,732,356 | |
| INBK | First Internet Bancorp | −2,000 | 74,899 | $2,082,192 | |
| LGL | Lgl Group Inc | −1,896 | 78,955 | $545,579 | |
| CP | Canadian Pacific Kansas City Ltd | −1,857 | 11,393 | $987,203 | |
| JPM | Jpmorgan Chase & Co | −1,829 | 7,167 | $2,345,974 | |
| PSLV | Sprott Physical Silver Trust | −1,720 | 7,685 | $145,015 | |
| LOW | Lowes Companies Inc | −1,619 | 80 | $17,639 | |
| INTC | Intel Corp | −1,615 | 10,443 | $1,458,156 | |
| AXP | American Express Co | −1,599 | 5,739 | $1,941,216 | |
| TLT | iShares 20+ Year Treasury Bond ETF | −1,544 | 6,559 | $566,828 | |
| ARL | American Realty Investors Inc | −1,497 | 69,222 | $1,541,573 | |
| CVE | Cenovus Energy Inc. | −1,250 | 6,000 | $148,860 | |
| MAT | Mattel Inc | −1,190 | 155 | $2,151 | |
| UMH | Umh Properties, Inc. | −1,100 | 81,923 | $1,240,314 | |
| No positions match the current search. | |||||
New Positions
Positions the filer opened this quarter
25 positions
| Ticker | Company | Shares | Value | Open |
|---|---|---|---|---|
| CALM | Cal-Maine Foods Inc | 11,125 | $896,230 | |
| HONA | Honeywell Aerospace Inc. | 2,288 | $505,831 | |
| FRMI | Fermi Inc. | 20,000 | $183,200 | |
| LNG | Cheniere Energy, Inc. | 337 | $80,546 | |
| EXPE | Expedia Group, Inc. | 314 | $80,346 | |
| INSM | INSMED Inc | 727 | $77,512 | |
| FAST | Fastenal Co | 1,522 | $73,101 | |
| BLDR | Builders FirstSource, Inc. | 813 | $72,747 | |
| ORLY | O Reilly Automotive Inc | 773 | $71,185 | |
| MSI | Motorola Solutions, Inc. | 168 | $69,768 | |
| EME | EMCOR Group, Inc. | 83 | $68,880 | |
| NBIX | Neurocrine Biosciences Inc | 407 | $68,595 | |
| TTWO | Take Two Interactive Software Inc | 268 | $66,994 | |
| NET | Cloudflare, Inc. | 265 | $64,999 | |
| MDGL | Madrigal Pharmaceuticals, Inc. | 118 | $63,360 | |
| BWXT | BWX Technologies, Inc. | 323 | $62,871 | |
| CMC | COMMERCIAL METALS Co | 1,000 | $62,750 | |
| NU | Nu Holdings Ltd. | 4,545 | $60,721 | |
| DASH | DoorDash, Inc. | 317 | $58,496 | |
| ASND | Ascendis Pharma A/S | 218 | $58,144 | |
| IDYA | IDEAYA Biosciences, Inc. | 1,554 | $57,917 | |
| CDNS | Cadence Design Systems Inc | 129 | $48,416 | |
| BOOT | Boot Barn Holdings, Inc. | 294 | $48,295 | |
| TOST | Toast, Inc. | 1,665 | $46,320 | |
| ENTG | Entegris Inc | 250 | $44,965 | |
| No positions match the current search. | ||||
Sold Out
Positions the filer fully exited
25 positions
| Ticker | Company | Shares | Value | Open |
|---|---|---|---|---|
| DGICB | Donegal Group Inc | 14,716 | $260,326 | |
| — | 18,309 | $108,023 | ||
| — | 10,065 | $105,783 | ||
| HOS | Hornbeck Offshore Services, Inc. | 10,000 | $98,900 | |
| NE | Noble Corp plc | 2,000 | $98,140 | |
| ADP | Automatic Data Processing Inc | 475 | $96,510 | |
| APT | Alpha Pro Tech Ltd | 16,236 | $72,087 | |
| U | Unity Software Inc. | 2,590 | $56,824 | |
| — | 615 | $39,938 | ||
| REZI | Resideo Technologies, Inc. | 833 | $28,080 | |
| — | 1,500 | $24,225 | ||
| APAM | Artisan Partners Asset Management Inc. | 226 | $8,224 | |
| BITW | Bitwise 10 Crypto Index ETF | 183 | $8,163 | |
| IUSG | iShares Core S&P U.S. Growth ETF | 38 | $5,894 | |
| — | 400 | $5,784 | ||
| VOE | VANGUARD MID-CAP VALUE INDEX FUND | 31 | $5,712 | |
| SKYD | Skydance Corp | 518 | $4,672 | |
| PRLD | Prelude Therapeutics Inc | 1,000 | $3,420 | |
| KKR | KKR & Co. Inc. | 25 | $2,312 | |
| ZIM | ZIM Integrated Shipping Services Ltd. | 50 | $1,317 | |
| MDLN | Medline Inc. | 25 | $1,112 | |
| MTUM | iShares MSCI USA Momentum Factor ETF | 4 | $959 | |
| IQLT | iShares MSCI Intl Quality Factor ETF | 16 | $739 | |
| IMTM | iShares MSCI Intl Momentum Factor ETF | 10 | $480 | |
| FENI | Fidelity Enhanced International ETF | 10 | $372 | |
| No positions match the current search. | ||||
922 tracked positions ·
$259,840,160 total
· filing declares
930 positions · $265,239,019
· as of Jun 30, 2026
All sectors
Basic Materials
Communication Services
Consumer Cyclical
Consumer Defensive
Energy
Financial Services
Healthcare
Industrials
Real Estate
Technology
Utilities
Showing 1–50
of 922 positions by value
· page 1 of 19
| Ticker | Company | Type | Shares | Value (USD) | % of Portfolio | History |
|---|---|---|---|---|---|---|
| AAPL |
Apple Inc.
Technology
|
Added | 46,641 | $13,496,039 | 5.19% | |
| CAT |
Caterpillar Inc
Industrials
|
Reduced | 7,994 | $8,512,810 | 3.28% | |
| PPIH |
Perma-Pipe International Holdings, Inc.
Industrials
|
Reduced | 231,638 | $6,307,502 | 2.43% | |
| PLBC |
Plumas Bancorp
Financial Services
|
Held | 106,283 | $6,211,178 | 2.39% | |
| KNTK |
Kinetik Holdings Inc.
Energy
|
Reduced | 117,726 | $5,690,874 | 2.19% | |
| MSA |
MSA Safety Inc
Industrials
|
Reduced | 28,879 | $5,041,695 | 1.94% | |
| SGOV |
iShares 0-3 Month Treasury Bond ETF
|
Added | 50,024 | $5,035,916 | 1.94% | |
| V |
Visa Inc.
Financial Services
|
Reduced | 12,850 | $4,408,706 | 1.70% | |
| DGICA |
Donegal Group Inc
Financial Services
|
Added | 226,439 | $4,270,639 | 1.64% | |
| BRK-B |
Berkshire Hathaway Inc
Financial Services
|
Added | 8,096 | $4,051,157 | 1.56% | |
| IVV |
iShares Core S&P 500 ETF
|
Reduced | 4,770 | $3,572,205 | 1.37% | |
| SENEA |
Seneca Foods Corp
Consumer Defensive
|
Reduced | 19,596 | $3,408,528 | 1.31% | |
| VIG |
Vanguard Specialized Funds
|
Added | 14,323 | $3,389,108 | 1.30% | |
| CSCO |
Cisco Systems, Inc.
Technology
|
Reduced | 25,973 | $3,050,788 | 1.17% | |
| PKBK |
Parke Bancorp, Inc.
Financial Services
|
Held | 91,336 | $3,028,701 | 1.17% | |
| CVX |
Chevron Corp
Energy
|
Added | 16,865 | $2,795,542 | 1.08% | |
| MSFT |
Microsoft Corp
Technology
|
Added | 7,414 | $2,765,570 | 1.06% | |
| COST |
Costco Wholesale Corp
Consumer Defensive
|
Reduced | 2,948 | $2,757,765 | 1.06% | |
| BCML |
BayCom Corp
Financial Services
|
Held | 80,010 | $2,632,329 | 1.01% | |
| IGM |
iShares Expanded Tech Sector ETF
|
Reduced | 15,120 | $2,473,329 | 0.95% | |
| FSUN |
Firstsun Capital Bancorp
Financial Services
|
Added | 60,912 | $2,362,167 | 0.91% | |
| JPM |
Jpmorgan Chase & Co
Financial Services
|
Reduced | 7,167 | $2,345,974 | 0.90% | |
| IBM |
International Business Machines Corp
Technology
|
Added | 8,292 | $2,331,793 | 0.90% | |
| VTI |
VANGUARD TOTAL STOCK MARKET INDEX FUND
|
Reduced | 5,982 | $2,213,579 | 0.85% | |
| CWBC |
Community West Bancshares
Financial Services
|
Added | 78,625 | $2,111,867 | 0.81% | |
| INBK |
First Internet Bancorp
Financial Services
|
Reduced | 74,899 | $2,082,192 | 0.80% | |
| MOD |
Modine Manufacturing Co
Consumer Cyclical
|
Reduced | 7,539 | $2,013,063 | 0.77% | |
| KYN |
Kayne Anderson Energy Infrastructure Fund, Inc.
Financial Services
|
Added | 141,106 | $1,951,495 | 0.75% | |
| AXP |
American Express Co
Financial Services
|
Reduced | 5,739 | $1,941,216 | 0.75% | |
| XOM |
ExxonMobil Holdings Corp
Energy
|
Reduced | 13,755 | $1,880,583 | 0.72% | |
| META |
Meta Platforms, Inc.
Communication Services
|
Added | 3,189 | $1,796,331 | 0.69% | |
| UNP |
Union Pacific Corp
Industrials
|
Added | 6,602 | $1,795,744 | 0.69% | |
| BANR |
Banner Corp
Financial Services
|
Reduced | 26,074 | $1,732,356 | 0.67% | |
| NEN |
New England Realty Associates Limited Partnership
Real Estate
|
Held | 29,019 | $1,703,125 | 0.66% | |
| JNJ |
Johnson & Johnson
Healthcare
|
Added | 6,576 | $1,670,106 | 0.64% | |
| MCHB |
Mechanics Bancorp
Financial Services
|
Held | 103,285 | $1,642,231 | 0.63% | |
|
|
Reduced | 212,600 | $1,628,516 | 0.63% | ||
| INTG |
Intergroup Corp
Consumer Cyclical
|
Reduced | 32,889 | $1,579,329 | 0.61% | |
| PEP |
Pepsico Inc
Consumer Defensive
|
Added | 11,518 | $1,559,537 | 0.60% | |
| ARL |
American Realty Investors Inc
Real Estate
|
Reduced | 69,222 | $1,541,573 | 0.59% | |
| WLY |
John Wiley & Sons, Inc.
Communication Services
|
Held | 31,535 | $1,529,762 | 0.59% | |
| CET |
Central Securities Corp
Financial Services
|
Added | 28,121 | $1,474,946 | 0.57% | |
| MCI |
Barings Corporate Investors
Financial Services
|
Held | 83,984 | $1,474,759 | 0.57% | |
| INTC |
Intel Corp
Technology
|
Reduced | 10,443 | $1,458,156 | 0.56% | |
| GOLD |
Gold.com, Inc.
Financial Services
|
Reduced | 34,767 | $1,446,654 | 0.56% | |
| PFE |
Pfizer Inc
Healthcare
|
Reduced | 56,959 | $1,371,572 | 0.53% | |
| USFR |
WisdomTree Floating Rate Treasury Fund
|
Added | 26,526 | $1,335,584 | 0.51% | |
| SMBK |
Smartfinancial Inc.
Financial Services
|
Held | 28,431 | $1,333,982 | 0.51% | |
| ABBV |
AbbVie Inc.
Healthcare
|
Added | 5,152 | $1,296,449 | 0.50% | |
| NRIM |
Northrim Bancorp Inc
Financial Services
|
Held | 46,204 | $1,281,698 | 0.49% |
Showing the top 50 of 922 positions. Create a free account to see every position, past quarters, search, filters and CSV export.
Covers the securities this platform tracks: U.S.-listed common stock and the put/call positions reported on it. A 13F can also report security types outside that coverage — preferred shares, bonds, warrants, untracked share classes — so the filing's own declared total can exceed the figures above. The source filing is linked at the top of this table.