OUR TEAM
“Investing isn’t about beating others at their game.
It’s about controlling yourself at your own game.”
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.
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.
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.
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.
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.
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.
Kathleen Helmer
Managing Director
Kathleen Helmer is the Managing Director of Operations and Human Resources at Caldwell Sutter Capital. She oversees both the broker dealer and registered investment advisor operational platforms and works closely with the firms compliance team. Kathleen manages the software integration and oversight for both institutional and high net worth clients, and is integral to the culture of the firm.
Russell L. Goings
Managing Director
Goings has more than 35 years of experience in municipal capital markets. During his career he has worked for several investment banking firms’ public finance groups, including Lazard Freres, First Albany (now Jefferies), First Southwest (now Hilltop) and Hutchinson Shockey Erley & Co.
He has transaction experience with a municipal credit including, benefit assessment bonds, special tax obligations, sales tax revenue bonds, certificates of participation, tax allocation/increment bonds, general obligation bonds, tobacco bonds, Mello Roos bonds and multifamily residential rental bonds.
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.
Joe Raymond
Portfolio Manager
Joe manages advisory accounts and conducts research on current and prospective investments. Prior to joining Caldwell Sutter, he worked as an Analyst at Santa Monica Partners. Before that, he was a Research Associate at Brandes Investment Partners. Joe played four years of varsity baseball at Utah Tech University and graduated with honors.
Peter Salcuni
Peter is a desk trader for Caldwell Sutter Capital with a SIE, Series 7 and 52 licenses.
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.
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.