{"url":"https://nivawealth.com/firms/kaltbaum-capital-management-123991","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/123991","regulatoryAum":110895973,"crd":"123991","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"1082074","suffix":null,"lastName":"KALTBAUM","firstName":"GARY","middleName":"BRIAN"}],"total":1,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2025-05-06","regulatoryAum":117979814,"clients":264,"employees":2,"offices":1},{"filedOn":"2026-03-27","regulatoryAum":110895973,"clients":227,"employees":2,"offices":1}],"secFileNumber":"801-132465","legalName":"Kaltbaum Capital Management, LLC","displayName":"Kaltbaum Capital Management","slug":"kaltbaum-capital-management-123991","website":"https://garykaltbaum.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"xUrl":"https://x.com/garykaltbaum","founded":null,"organization":"Florida limited liability company","fiscalYearEnd":"December","headquarters":{"street":"","city":"","state":"","stateName":"","country":"","postalCode":null},"tradeNames":[],"registration":{"secApproved":"18 April 2025","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":488528.5154185022,"staff":{"employees":2,"advisory":1,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":110895973,"discretionary":110114412,"discretionaryAccounts":193,"nonDiscretionary":781561,"nonDiscretionaryAccounts":34,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":118,"regulatoryAum":12677018},{"label":"High-net-worth individuals","clients":109,"regulatoryAum":98218955}],"feePrograms":[{"role":"other","program":"Investment Research Consulting","summary":"Fees are $750 per quarter for individuals; fees for institutions are negotiated.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1029163","versionId":1029163,"submittedOn":"2026-03-27","documentName":"KALTBAUM CAPITAL MANAGEMENT PART 2A"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed_no_numerical_schedule","checkedAt":"2026-10-22T12:42:39.667776+00:00","documents":[{"name":"KALTBAUM CAPITAL MANAGEMENT PART 2A","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1029163","versionId":1029163,"submittedOn":"2026-03-27"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"San Francisco, CA","smaAssets":110895973}],"custodyNote":"Kaltbaum Capital Management does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Gary Kaltbaum","title":"Managing Member/Chief Compliance Officer","crd":"1082074"}],"ownership":[{"label":"Gary Kaltbaum","detail":"Managing member/chief compliance officer in the 75% or more ownership band and a control person, since January 2003."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"407-514-3180","stateRegisteredReps":1,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Fixed fees (other than subscription fees)","Performance-based fees"],"activities":["Portfolio management for individuals and/or small businesses","Publication of periodicals or newsletters","Other"],"financialPlanningClients":null,"assetMix":[{"label":"Exchange-traded equity securities","percent":70},{"label":"Investment grade corporate bonds","percent":5},{"label":"Cash and cash equivalents","percent":25}],"privateFunds":0},"sources":{"adv1FilingDate":"27 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/123991/PDF/123991.pdf","brochureDate":"27 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1029163","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Kaltbaum Capital Management have?","answer":"Kaltbaum Capital Management has 227 clients and manages $111 million for them, as of March 2026. They include 118 individual clients and 109 high-net-worth individuals.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 27 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Kaltbaum Capital Management offer?","answer":"Kaltbaum Capital Management provides portfolio management for individuals and small businesses and publishing newsletters.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does Kaltbaum Capital Management use?","answer":"Kaltbaum Capital Management’s separately managed account assets are held at Charles Schwab & Co., Inc. (San Francisco, CA), with $111M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 27 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Kaltbaum Capital Management have?","answer":"Kaltbaum Capital Management has 1 investment adviser representative registered with state securities authorities, out of 2 employees, and 1 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Kaltbaum Capital Management invest in?","answer":"At the end of its last fiscal year, Kaltbaum Capital Management’s separately managed accounts held 70% exchange-traded equities, 25% cash and equivalents and 5% investment grade corporate bonds.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Kaltbaum Capital Management?","answer":"Kaltbaum Capital Management’s direct owner is Gary Kaltbaum (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 27 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Kaltbaum Capital Management get paid?","answer":"Kaltbaum Capital Management is paid through a percentage of assets under management, fixed fees and performance-based fees. Its Form ADV lists no commissions among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Kaltbaum Capital Management?","answer":"Its phone number is 407-514-3180. Its website is garykaltbaum.com.","source":"Form ADV Part 1A, Item 1.F, filed 27 March 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}