Kaltbaum Capital Management, LLC (Orlando)

Name: Kaltbaum Capital Management, LLC
Address: 201 S Orange Ave., Orlando, FL, 32801
Telephone: 407-514-3180

Kaltbaum Capital Management, LLC is an adviser based in Orlando. It manages $43.4 million of regulatory assets for 228 client accounts. It has been registered with the SEC as an adviser since 2011 and has operated in the jurisdictions of Arizona, Florida, and Texas.

Kaltbaum Capital Management provides portfolio management for individuals and small businesses, publication of newsletters, and investment research consulting. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Kaltbaum Capital Management: assets under management

The assets under management (AUM) of Kaltbaum Capital Management, LLC is $43.4 million. The firm's AUM has gone down by -59% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $42 million in discretionary accounts and $1.4 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $200 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $77.78 thousand.

Kaltbaum Capital Management has custody of $45 million in cash and securities for 175 clients in total but doesn’t act as a qualified custodian.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Kaltbaum Capital Management, LLC for their services and products based on a percentage of assets under management, fixed fees, and performance-based fees. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Kaltbaum Capital Management serves?

The firm provides services to individuals and high net worth individuals. The largest group of clients of Kaltbaum Capital Management is high net worth individuals with 22 clients and $22 million of assets under management. Among the 1 most similar advisory firms, Kaltbaum Capital Management has the 0th lowest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $43.4 million for 228 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

Kaltbaum Capital Management doesn't advise any private funds.

Careers at Kaltbaum Capital Management, LLC

The company employs 2 people that are either part- or full-time employees. 50 percent of the employees work as investment advisers or researchers. Only one employee is registered as an investment adviser representative with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Gary Brian Kaltbaum	Managing member/chief compliance officer	1 Jan 2003	75% - 100%	1082074

Based in Orlando

The principal office where Kaltbaum Capital Management, LLC performs its advisory services is located at 201 S Orange Ave., Orlando, FL 32801, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 407-514-3180 or by fax 407-648-1472. The normal business hours are 8:30 - 5:00 on Monday - Friday. You can find more information about the New York firm at garyk.com..