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Portfolio (Quarterly) Guide ↗

CALDWELL SUTTER CAPITAL, INC.

· CIK 0000702007
13F Portfolio $234M AUM Filed Oct 29, 2025 EDGAR ↗ ← All Funds
Q4 2025 Q3 2025 · All 871 New
Page 20 of 44  ·  871 positions
# Ticker Company Sector Shares Value ↓ % Port Chg Shares Chg % Period Price ① Since Period ①
381 NI NISOURCE INC Utilities 1,030.0 $45K 0.02% NEW $43.30 +10.2%
382 EMX RTY CORP 8,487.0 $44K 0.02% NEW $5.15
383 XJH ISHARES TR 991.0 $43K 0.02% NEW $43.85 +12.2%
384 TSLA TESLA INC Consumer Cyclical 97.0 $43K 0.02% NEW $444.72 -6.2%
385 HOPE HOPE BANCORP INC Financial Services 4,000.0 $43K 0.02% NEW $10.77 +15.6%
386 UL UNILEVER PLC SPON Consumer Defensive 717.0 $43K 0.02% NEW $59.28 -2.7%
387 TMUS T-MOBILE US INC Communication Services 177.0 $42K 0.02% NEW $239.41 -20.6%
388 NTR NUTRIEN LTD Basic Materials 721.0 $42K 0.02% NEW $58.71 +19.6%
389 MAA MID-AMER APT CMNTYS INC Real Estate 300.0 $42K 0.02% NEW $139.73 -7.0%
390 ESML ISHARES TR 904.0 $41K 0.02% NEW $45.08 +15.0%
391 APH AMPHENOL CORP Technology 328.0 $41K 0.02% NEW $123.75 +0.9%
392 DEA EASTERLY GOVT PPTYS INC COM Real Estate 1,770.0 $41K 0.02% NEW $22.93 +4.1%
393 PHG KONINKLIJKE PHILIPS N V NY REGIS Healthcare 1,486.0 $41K 0.02% NEW $27.26 -1.9%
394 TMO THERMO FISHER SCIENTIFIC INC Healthcare 83.0 $40K 0.02% NEW $485.02 -6.9%
395 MPTI M-TRON INDS INC Technology 724.0 $40K 0.02% NEW $55.48 +43.4%
396 IWB ISHARES TR 109.0 $40K 0.02% NEW $365.48 +10.8%
397 FPF FIRST TR INTER DURATN PFD & IN Financial Services 2,050.0 $39K 0.02% NEW $19.15 -6.4%
398 CWT CALIFORNIA WTR SVC GROUP Utilities 855.0 $39K 0.02% NEW $45.89 -5.8%
399 AIR LEASE CORP 615.0 $39K 0.02% NEW $63.65
400 PHYS SPROTT PHYSICAL GOLD TR Financial Services 1,300.0 $39K 0.02% NEW $29.62 +16.0%
Page 20 of 44  ·  871 positions

Period Price is the implied market price on the last day of the reporting period, calculated as reported value ÷ shares held. It is not the fund's purchase price or cost basis — the fund may have initiated or added to the position at any point during the quarter at a different price. Since Period shows the price change from that quarter-end snapshot to today's last price — it reflects stock movement after the report date, not the fund's actual return.

Sector Allocation
Financial Services 32.6%
Technology 16.1%
Industrials 13.9%
Consumer Defensive 8.4%
Energy 6.7%
Communication Services 5.1%
Healthcare 5.0%
Real Estate 5.0%
Consumer Cyclical 4.7%
Utilities 1.8%