Austin, TX Rilato Blvd Office

Caldwell Sutter Capital serves primarily high‑net‑worth individuals, their families, and related accounts, and the firm also accepts corporations and municipal clients. It provides portfolio management and financial planning and is dually registered as an SEC investment adviser and a FINRA‑member broker‑dealer while also holding registration as a municipal advisor.

The firm constructs separate, customized equity and fixed‑income portfolios through strategies such as CS Value Equity, CS Value Income, and CS Strategic Diversified, relying on a bottom‑up, fundamental value process that emphasizes long‑term, buy‑and‑hold investing in niche or structurally inefficient securities. Advisors collect client investment profiles and perform proprietary research to tailor allocations and select municipal and corporate bonds based on relative value and client liquidity, tax, and income needs.

Distinctive operational features include its broker‑dealer activities (including principal and agency‑cross transactions and a practice of recommending its broker‑dealer or affiliated clearing arrangements for execution in certain strategies), its status as a licensed insurance agency whose representatives may earn commission‑based compensation for insurance sales, and its registration as a municipal advisor. The brochure also discloses that the firm may trade client accounts on margin and that these multiple roles create potential conflicts of interest, with policies described to address and mitigate those conflicts.