KALTBAUM Capital Management
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$110,895,973
Clients
227
48% high-net worth
Advisors
1
of 2 employees
Firm type
Independent
1 advisor
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
227
Very HighAverage account size
$488,529
About
Kaltbaum Capital Management primarily serves individual and high-net-worth clients, providing discretionary and non-discretionary investment supervisory services and tailored portfolio management across equities, fixed income and ETFs. The firm also offers investment research and consulting and produces market commentary and publications intended for a broader investor audience.
The firm operates three stated strategies—growth (equities), fixed income, and an ETF/tactical allocation approach—and combines fundamental and technical analysis with daily monitoring and the flexibility to take concentrated positions when deemed appropriate. Portfolios may be managed to a stated strategy or customized to individual client goals, and the adviser retains broad investment authority to adjust allocations in response to market and client changes.
Noteworthy differences from many peers include a media and publications component (periodicals/newsletter commentary and broadcast appearances) and the firm’s acceptance of performance-based fee arrangements for qualified clients, both of which are less common in this peer group. The firm also manages a relatively large number of client relationships per advisor, a structure that may influence how services are delivered and reviewed compared with smaller advisor-to-client ratios.
Client services
Portfolio management
Newsletters or periodicals
Investment research consulting
Expertise
Active portfolio management
Concentrated stock management
Fee options
$0.00 - $500,000.00: up to 2% $500,000.00 - $1,000,000.00: up to 1.5% $1,000,000.00+: up to 1%
Up to 20% of the quarterly realized and unrealized gain for clients with at least $1.1 million AUM or $2.2 million net worth.
Investment Research Consulting Fees: $750 per quarter for individuals; negotiated for institutions.
Account minimum: $500,000
Most active in
KALTBAUM Capital Management has reported serving >5 clients in these states in the last 12 months.
Arizona · Florida · Pennsylvania · Texas
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
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