Almeida Law Group is investigating a data breach at Caldwell Sutter Capital, Inc. The breach occurred on April 22nd, 2026 and was discovered on April 29th, 2026. If you were affected, contact Almeida Law Group.
About Caldwell Sutter Capital, Inc.
Caldwell Sutter Capital, Inc. is an employee-owned investment advisory firm and independent broker-dealer that has been in business since 1982. The firm is headquartered in Sausalito, California, with an additional office in Santa Rosa, and manages approximately $488.4 million in assets across 1,256 accounts for individuals, families, and institutions. Because the breach exposed names, account numbers, and Social Security numbers, affected clients face meaningful risks of identity theft and financial fraud.
What Happened?
Caldwell Sutter Capital, Inc. was listed in a Maine Attorney General filing dated June 11th, 2026. According to that filing and the accompanying breach notice, the incident did not occur within Caldwell Sutter Capital’s own systems. Instead, it originated at FoxTrot, LLC, a third-party vendor that provides software solutions supporting the firm’s back-office operations. An unauthorized party gained access to data held by FoxTrot, LLC on April 22nd, 2026, approximately between 4:00 and 8:00 PM Pacific Time. Caldwell Sutter Capital was notified of the incident on April 29th, 2026, and sent written notices to affected consumers on May 29th, 2026. A total of 663 individuals were affected. The information involved included names, account numbers, and Social Security numbers, though the firm notes that specific data elements varied by individual. At the time of notification, no misuse of the information had been identified.
No ransomware group claims or threat-actor attribution have been reported in connection with this incident, and no litigation related to it has been identified. FoxTrot, LLC does not appear to have a publicly discoverable web presence, and no independent cybersecurity coverage of this incident was found as of the research date.
Key Facts at a Glance
- Company or Organization: Caldwell Sutter Capital, Inc.
- Industry: Investment Management / Financial Services (SEC-registered broker-dealer and investment advisory firm)
- Location: Sausalito, California
- Incident type: Unauthorized access at a third-party vendor (FoxTrot, LLC)
- Date of breach: April 22nd, 2026
- Date breach discovered: April 29th, 2026
- Date of consumer notification: May 29th, 2026
- Total persons affected: 663
- Identity theft protection offered: Yes — 12 months of Experian IdentityWorks credit monitoring and identity restoration
- Source: Maine Attorney General filing; SmartAdvisorMatch – Caldwell Sutter Capital
What Should You Do?
If you received a notice from Caldwell Sutter Capital, Inc., enroll in the complimentary 12-month Experian IdentityWorks service as soon as possible, as enrollment is required to activate credit monitoring. You should also place a fraud alert or credit freeze with the three major credit bureaus — Equifax, Experian, and TransUnion — to make it harder for anyone to open new accounts in your name. Review your financial account statements carefully for any unauthorized transactions and report anything suspicious to your financial institution right away. You can obtain a free copy of your credit report at AnnualCreditReport.com or by calling 1-877-322-8228. If you believe your identity has been misused, visit IdentityTheft.gov to report the incident and get a personalized recovery plan.
Your Legal Rights
If your personal information was involved in this breach, you may have legal rights depending on the facts of the incident and the law in your state. Almeida Law Group represents consumers in data breach and privacy litigation and can help you evaluate whether you may have a claim. Contact us at (708) 529-5418 or through our contact page for a free case evaluation.
