CALDWELL SUTTER CAPITAL, INC.
SEC Form 13F institutional filer · CIK 0000702007
13F-HR · 320 reported holdings · 2026-03-31
Reported long-US-equity value
$0.13B
Top-10 concentration
35.9%
CALDWELL SUTTER CAPITAL, INC. — $128M AUM allocation strategy
CALDWELL SUTTER CAPITAL, INC. files SEC Form 13F and reports $128M of long US equity value across 320 reported holdings for 2026-03-31.
Its largest sector bet is Information Technology 14.6%, followed by Financials 14.0% and Industrials 5.8%.
The top 10 holdings account for 36% of reported value — a broadly spread portfolio. The sector and industry splits below are of the same reported value. Track quarter-over-quarter adds, trims, new positions and exits below — sourced from SEC 13F filings, public domain.
CALDWELL SUTTER CAPITAL, INC. — latest SEC 13F insights
Reported long-US-equity value (13F AUM)
$128M
total across 320 reported holdings · 2026-03-31 · excludes shorts, cash, non-US
Top-10 concentration
36% of value
higher = narrower conviction; lower = spread / hedging
Biggest adds (shares)
+$BX +45.3K sh · +$3.1M+$CCI +2.61K sh · +$184K+$PFE +2.39K sh · +$271K
Biggest trims (shares)
−$AAPL −1.93K sh · −$1.37M−$CSCO −1.78K sh · −$122K−$F −1.45K sh · −$48.7K
Sector allocation (share of reported value)
each slice is a share of the reported long-US-equity value — smaller sectors and the rest of the book roll into “Other holdings”
Qtr shift = share-point change vs the prior quarter's filing — first period tracked for this filer; the column fills in with the next quarterly refresh.
Industry allocation (share of reported value)
- Technology Hardware, Storage & Peripherals9.2%—
- Integrated Oil & Gas4.5%—
- Construction Machinery & Heavy Transportation Equipment4.5%—
- Asset Management & Custody Banks4.5%—
- Transaction & Payment Processing Services3.1%—
- Pharmaceuticals2.7%—
- Multi-Sector Holdings2.6%—
- Consumer Staples Merchandise Retail2.3%—
- Other holdings66.5%—
the finer GICS cut of the same book — same denominator — smaller industries roll into “Other holdings”
Qtr shift = share-point change vs the prior quarter's filing — first period tracked for this filer; the column fills in with the next quarterly refresh.
Top S&P 500 holdings
9 of 9 rows · sorted by Value ↓
| Ticker | Holding | Shares | Value | Δ QoQ | Weight |
|---|---|---|---|---|---|
| $AAPL | Apple Inc | 46.6K | $11.8M | -1.93K | 9.2% |
| $CAT | Caterpillar Inc | 8.18K | $5.8M | -419 | 4.5% |
| $BX | Blackstone Inc | 119K | $5.74M | +45.3K | 4.5% |
| $V | Visa Inc | 12.9K | $3.91M | -223 | 3.1% |
| $CVX | Chevron Corporation | 16.8K | $3.48M | -137 | 2.7% |
| $BRK.B | Berkshire Hathaway Inc.-Class B | 7.11K | $3.41M | +613 | 2.7% |
| $COST | Costco Wholesale Corporation | 3.01K | $3M | -35 | 2.3% |
| $MSFT | Microsoft Corporation | 7.28K | $2.69M | -27 | 2.1% |
| $JPM | JP Morgan Chase & Co | 9K | $2.65M | -230 | 2.1% |
…and 311 more holdings in the full 13F filing (top positions only shown).
SEC Form 13F data sets · public domain · 45-day filing lag · >$100M AUM managers · as reported
← All 13F filers·← QuantOrb.pro
How to read Δ QoQ — the five insight categories, and the caveats
The categories. Analysts, quants and retail traders look past total portfolio value to isolate actionable signals. Five categories matter.
Conviction & concentration shifts
New positions vs complete exits — a brand-new stock signals high conviction; a full liquidation suggests a broken thesis or tax-loss harvesting. Aggressive sizing — look at share count, not dollars: a 20% share increase during a drawdown is strong dip-buying. Concentration — a narrowing top-5/10 means conviction; spreading capital across more names means hedging.
Sector & macro allocation rotations
Aggregating Δ QoQ moves across sectors shows where smart money is leaning in or sneaking out — rotating out of growth into defensives or energy, for example. The fund's total long equity exposure quarter-over-quarter is a proxy for overall institutional risk appetite.
Crowding & smart-money consensus
When several managers initiate or expand the same stock in the same quarter, that is institutional consensus. Contrarian reads: top pickers buying hard into a beaten-down name the market is selling.
Derivative & option overlays
Reported call/put changes indicate whether managers are adding downside hedges or leveraging upside exposure. Note: a long increase may be half of a market-neutral pair trade.
Who reads this
| Retail "cloners" | High-conviction ideas to replicate ~45 days after quarter-end. |
| Corporate IR | Which funds bought or dumped the stock, before the next call. |
| Quant / algo traders | Cross-sectional factor inputs: flow, momentum, ownership. |
Four caveats before you trade on it
- 45-day lag — holdings are quarter-end; positions may already be closed.
- Long-only — 13Fs miss shorts, pair trades and cash.
- No non-US / fixed income — the picture is US equities plus options.
- Corporate actions — splits and spinoffs distort raw share deltas.
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