Joseph Helmer is a registered investment advisor at Caldwell Sutter Capital, INC., based in Altadena, CA, with 21 years of industry experience. Joseph operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Estate Planning, Financial Planning & Coaching, High Net Worth, Investment Management, and 1 more. Their firm serves 546 clients with $610M in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Caldwell Sutter Capital's fees for managing your investments vary depending on the investment strategy and the type of assets in your portfolio.
For the CS Value strategy:
- Fixed income securities, limited partnerships, and other private funds: 0.5% per year
- ETFs and closed-end funds: 1% per year
- Individually researched equities: 1.5% per year
For the CS Strategic Diversified strategy, the annual fee ranges from 0.15% to 1.5% based on the total value of your portfolio and the complexity of services.
Location
Altadena, CA
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
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Joseph is compensated for being a director of Crazy Woman Creek Bancorp, the bank holding company of Buffalo Federal Bank, since January 2015. He dedicates a few hours per week to this activity, serving on the audit committee.
Employment History
Current Registrations
Caldwell Sutter Capital, INC.
Caldwell Sutter Capital, INC.Broker
Previous Registrations
Caldwell Sutter Capital, INC.
State Registrations41 states
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