OUR TEAM


 
Investing isn’t about beating others at their game.
It’s about controlling yourself at your own game.
— Benjamin Graham
 
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Joseph F. Helmer, CFA
President

Joe created the firm’s COMPND process
that harnesses the power of long-term compounding of investment returns. He manages investment advisory accounts for wealthy individuals and families using our CS VALUE EQUITY and CS VALUE BALANCED strategies.

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Joseph M. DuCote, Senior Managing Director and Chairman of the Executive Committee

Joe manages the CS VALUE INCOME strategy and balanced total return portfolios for our High Net Worth clients, families, and institutional advisory accounts. He oversees the team responsible for all aspects of fixed income sales and trading for our institutional brokerage clients.

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Mari Fu, Managing Director & Head of Municipal Trading

Mari is nationally recognized as an expert in high grade fixed income securities. Her fixed income expertise, in addition to identifying and locating intrinsic value, also extends to portfolio management, providing valuable input concerning asset allocation and portfolio structuring.

 
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Sue Metcalf, CFA
Managing Director & Head
of Municipal Research

Sue leads our proprietary municipal bond research process and is actively involved in advising our High Net Worth and institutional investment management clients concerning research-related municipal issues.

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John C. Helmer, CFA | Founder

John founded Caldwell Securities in 1982, one of the earliest dually-registered (broker-dealer and investment adviser) firms, and the predecessor of Caldwell Sutter Capital. John’s value investing “DNA” is deeply embedded in our COMPND process and CS VALUE EQUITY investment strategy.

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Christopher W. Anderson
Chief Compliance Officer

Chris is the Chief Compliance Officer of Caldwell Sutter Capital, Inc. He leads the operations and compliance teams of both the investment advisory and brokerage business lines. Chris drives our efforts to deliver an extraordinary level of personalized client service.

 
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Frank J. Soriano
Municipal Investment Banker,
Senior Managing Director

Frank leads our municipal investment banking and advisory services. During his public finance career, Frank has financed almost every type of public purpose project, with an emphasis on tax allocation financings and public power and water projects.

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Kevin Klenzendorf
Research Analyst

Kevin joined Caldwell Sutter Capital in 2017 as a research analyst. He assists the public finance team’s banking and underwriting efforts as well as supports the fixed income investment advisory team and trading desk operations.

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E. Tobias Smith
Operations Manager

Before joining Caldwell Sutter Capital in 2018, Toby directed the trading operations at Russian Hill Capital and Libertyship Group, proprietary trading firms in San Francisco, CA. From 2005-2009, he served as Chief Compliance Officer for Rubicon Global Investments, an Institutional Broker/Dealer providing equity executions services. 

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Kathleen Helmer
Public Finance Associate

Kathleen joined Caldwell Sutter Capital in 2017. She assists the Public Finance team’s banking and underwriting efforts and the daily operations of both investment advisory and brokerage services.

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Diana M. Victoria
Office Manager

Diana joined Caldwell Sutter in 2017. She is actively engaged in the management of daily operations across all businesses, providing administrative support to the various
team leaders.

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Ronald M. Parker
Managing Director

Ron serves as a Managing Director in our fixed income group. His decades of experience managing fixed income teams makes him a highly valued advisor to our municipal banking and underwriting efforts, and our fixed income sales and trading services.

 
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Richard A. Saso, CPA

Rich joined Caldwell Sutter Capital in 2010. He has been a licensed California CPA since 1977. His forty plus years’ experience include retirement, tax and financial planning, accounting and income tax preparation.