DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Former SEC-registered adviser

Kalos Management

Former SEC-registered adviserPonte Vedra Beach, FloridaCRD 133025SEC 801-65182IAPD
Legal name Kalos Management, Inc.
Latest filing Mar 16, 2023
First filing on the tape Nov 17, 2011 · 36 filings
RAUM
$129M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$125M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
36 filings and snapshots on the tape
RAUM$129M as of Mar 16, 2023
Feb 14, 2012$78.9M then
HNW client RAUM$82.5M as of Mar 16, 2023
Mar 30, 2018$63.8M then
State-registered IARs (5.B.3)5 as of Mar 16, 2023
Mar 8, 201345 then
Employees (5.A)5 as of Mar 16, 2023
Mar 8, 201360 then
Private funds: no history
RAUM -57% over the last fiscal year-21% a year over threeIARs 80 to 5offices 56 to 3
Practice profile
derived from the filing of Mar 16, 2023; every figure names its basis
RAUM per advisor
$25.7MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
63derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$749,992derivedHNW RAUM over HNW clients
Average account
$109,508derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
2.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.3derived4 offices incl. principal (1.F.5)
RAUM growth, one year
-57%derivedbetween the last two annual amendments
Advisor growth, one year
-94%derivedItem 5.B.3 between annual amendments
Client growth, one year
-75%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$82.5M64%
  • Individuals$42.4M33%
  • Pension and profit-sharing plans$3.6M2.8%
  • Corporations and businesses$74,6130.1%
  • Charitable organizations$8180.0%
Individual clients
205reported
HNW clients
110reported
Pension plan clients
4reported
Charitable clients
1reported
Accounts
1,174reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
Teams outTeams in
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Jean Carol Wildermuth · Chief Compliance Officercontrol
    since 03/2022 · owns less than 5%
  • Lloyd Daniel Wildermuth · Trustee
    since 12/2020 · owns F of The Nouveau Jour Trust
Entity owners
  • Kalos Financial, Inc. · Owner
    direct · owns 75% or more
  • The Nouveau Jour Trust · Owner
    indirect · owns 75% or more of Kalos Financial, Inc.
Related persons
Schedule D 7.A
Advisers that list Kalos Management as a related person
Offices
Schedule D 1.F, the 25 largest
  • Ellicott City, MD2 employees
  • Carmel, IN1 employees
  • Mt. Pleasant, SC1 employees
What changed
consecutive filings, newest first
  • Accounts · 1,845 to 1,174
    Nov 4, 2022 to Mar 16, 2023
  • Advisory employees · 80 to 4
    Nov 4, 2022 to Mar 16, 2023
  • BD registered reps · 80 to 0
    Nov 4, 2022 to Mar 16, 2023
  • Charity clients · 0 to 1
    Nov 4, 2022 to Mar 16, 2023
  • Corporate clients · 0 to 1
    Nov 4, 2022 to Mar 16, 2023
  • HNW clients · 73 to 110
    Nov 4, 2022 to Mar 16, 2023
  • Individual clients · 1,203 to 205
    Nov 4, 2022 to Mar 16, 2023
  • Pension plan clients · 0 to 4
    Nov 4, 2022 to Mar 16, 2023
  • Employees · 80 to 5
    Nov 4, 2022 to Mar 16, 2023
  • Insurance-licensed employees · 3 to 0
    Nov 4, 2022 to Mar 16, 2023
  • Financial planning clients · 101-250 to 1-10
    Nov 4, 2022 to Mar 16, 2023
  • HQ city · ALPHARETTA to PONTE VEDRA BEACH
    Nov 4, 2022 to Mar 16, 2023
  • HQ state · GA to FL
    Nov 4, 2022 to Mar 16, 2023
  • State-registered IARs · 80 to 5
    Nov 4, 2022 to Mar 16, 2023
  • Other offices · 56 to 3
    Nov 4, 2022 to Mar 16, 2023
  • Discretionary RAUM · $227M to $129M
    Nov 4, 2022 to Mar 16, 2023
  • HNW RAUM · $76.4M to $82.5M
    Nov 4, 2022 to Mar 16, 2023
  • Individual RAUM · $221M to $42.4M
    Nov 4, 2022 to Mar 16, 2023
  • Non-discretionary RAUM · $70.2M to $0
    Nov 4, 2022 to Mar 16, 2023
  • Pension RAUM · $0 to $3.6M
    Nov 4, 2022 to Mar 16, 2023
  • RAUM · $297M to $129M
    Nov 4, 2022 to Mar 16, 2023
  • Related broker-dealer · true to false
    Nov 4, 2022 to Mar 16, 2023
  • Wrap assets (manager) · 0.0 to unset
    Nov 4, 2022 to Mar 16, 2023
  • Wrap assets (sponsor) · 0.0 to unset
    Nov 4, 2022 to Mar 16, 2023
  • Accounts · 3,373 to 1,845
    Mar 31, 2021 to Mar 30, 2022
  • Advisory employees · 88 to 80
    Mar 31, 2021 to Mar 30, 2022
  • BD registered reps · 88 to 80
    Mar 31, 2021 to Mar 30, 2022
  • HNW clients · 78 to 73
    Mar 31, 2021 to Mar 30, 2022
  • Individual clients · 1,356 to 1,203
    Mar 31, 2021 to Mar 30, 2022
  • Employees · 88 to 80
    Mar 31, 2021 to Mar 30, 2022
  • Insurance-licensed employees · 11 to 3
    Mar 31, 2021 to Mar 30, 2022
  • State-registered IARs · 88 to 80
    Mar 31, 2021 to Mar 30, 2022
  • Other offices · 57 to 56
    Mar 31, 2021 to Mar 30, 2022
  • Discretionary RAUM · $230M to $227M
    Mar 31, 2021 to Mar 30, 2022
  • HNW RAUM · $77.6M to $76.4M
    Mar 31, 2021 to Mar 30, 2022
  • Individual RAUM · $224M to $221M
    Mar 31, 2021 to Mar 30, 2022
  • Non-discretionary RAUM · $71.3M to $70.2M
    Mar 31, 2021 to Mar 30, 2022
  • RAUM · $302M to $297M
    Mar 31, 2021 to Mar 30, 2022
  • Accounts · 2,933 to 3,373
    May 19, 2020 to Mar 30, 2021
  • Advisory employees · 93 to 88
    May 19, 2020 to Mar 30, 2021
Signals
60 dated events
  • Tyson Mcginn Marlow left Kalos Management for Quartz Partners Investment Management (registered 2023-08-29)
    Aug 30, 2023 · Advisor changed firm · fact
  • Donald Joe Florence left Kalos Management for Quartz Partners Investment Management (registered 2023-08-16)
    Aug 30, 2023 · Advisor changed firm · fact
  • Jordan Schmucher Wilson left Kalos Management for Blueprint Wealth Management Inc. (registered 2023-05-11)
    Jul 20, 2023 · Advisor changed firm · fact
  • Kalos Management reported 3 offices beyond its principal office, down from 56 (2022-11-04 to 2023-03-16)
    Mar 16, 2023 · Office count change · derived
  • Kalos Management reported 5 state-registered advisory representatives, down from 80 (2022-11-04 to 2023-03-16)
    Mar 16, 2023 · Advisor headcount change · derived
  • Kalos Management reported RAUM $128.6M, down 57% from $297.0M (2022-11-04 to 2023-03-16)
    Mar 16, 2023 · RAUM change · derived
  • Adam Ryan Smith left Kalos Management for Asteria Wealth Llc (registered 2019-10-17)
    Dec 19, 2022 · Advisor changed firm · fact
  • Christopher M Maxey left Kalos Management for Continuum Advisory, Llc (registered 2022-11-18)
    Nov 22, 2022 · Advisor changed firm · fact
  • Shawn Clark left Kalos Management for Continuum Advisory, Llc (registered 2023-01-11)
    Nov 22, 2022 · Advisor changed firm · fact
  • 2 advisors left Kalos Management (Tampa, FL) for Continuum Advisory, LLC on the same day
    Nov 22, 2022 · Team lift-out · derived
  • Nathan Thomas Mcduffee left Kalos Management for Arkadios Wealth Advisors (registered 2022-08-16)
    Nov 4, 2022 · Advisor changed firm · fact
  • A Chrissy Lee (Chief Operating Officer) no longer on Schedule A of Kalos Management (listed 2022-09-30, absent 2022-10-10)
    Oct 10, 2022 · Control person left · inference
  • John Amirault Farley left Kalos Management for Arkadios Wealth Advisors (registered 2022-08-19)
    Sep 30, 2022 · Advisor changed firm · fact
  • Patrick Arthur Strubbe left Kalos Management for Arkadios Wealth Advisors (registered 2022-08-11)
    Sep 30, 2022 · Advisor changed firm · fact
  • Jason James Mosher left Kalos Management for Arkadios Wealth Advisors (registered 2022-08-17)
    Sep 30, 2022 · Advisor changed firm · fact
  • Andrew Thomas Hackworth left Kalos Management for Arkadios Wealth Advisors (registered 2022-10-05)
    Sep 30, 2022 · Advisor changed firm · fact
  • Alexander Joseph Monk left Kalos Management for Arkadios Wealth Advisors (registered 2022-08-17)
    Sep 30, 2022 · Advisor changed firm · fact
  • Brian Alan Akers left Kalos Management for Arkadios Wealth Advisors (registered 2022-08-16)
    Sep 30, 2022 · Advisor changed firm · fact
  • Iain Lesslie Chase Brackstone left Kalos Management for Arkadios Wealth Advisors (registered 2022-08-19)
    Sep 30, 2022 · Advisor changed firm · fact
  • Jeffery Larry Akers left Kalos Management for Arkadios Wealth Advisors (registered 2022-08-16)
    Sep 30, 2022 · Advisor changed firm · fact
  • Matthew Terry left Kalos Management for Arkadios Wealth Advisors (registered 2022-08-16)
    Sep 30, 2022 · Advisor changed firm · fact
  • Eric Peter Weschke left Kalos Management for Coppell Advisory Solutions Llc (registered 2022-09-08)
    Sep 30, 2022 · Advisor changed firm · fact
  • Timothy Edward Zimcosky left Kalos Management for Arkadios Wealth Advisors (registered 2022-08-17)
    Sep 30, 2022 · Advisor changed firm · fact
  • Zachary Taylor Zimcosky left Kalos Management for Arkadios Wealth Advisors (registered 2022-08-16)
    Sep 30, 2022 · Advisor changed firm · fact
  • Thomas Michael Baer left Kalos Management for Arkadios Wealth Advisors (registered 2022-09-27)
    Sep 30, 2022 · Advisor changed firm · fact
  • Bernard Philip Mcvey left Kalos Management for Arkadios Wealth Advisors (registered 2022-08-16)
    Sep 30, 2022 · Advisor changed firm · fact
  • 3 advisors left Kalos Management (Columbia, SC) for Arkadios Wealth Advisors on the same day
    Sep 30, 2022 · Team lift-out · derived
  • 6 advisors left Kalos Management (Ponte Vedra Beach, FL) for Arkadios Wealth Advisors on the same day
    Sep 30, 2022 · Team lift-out · derived
  • Amy Rebecca Frank Goldman left Kalos Management for Independent Financial Group, Llc (registered 2022-09-22)
    Sep 23, 2022 · Advisor changed firm · fact
  • Chrissy A Lee left Kalos Management for Merit Financial Advisors (registered 2022-10-20)
    Sep 23, 2022 · Advisor changed firm · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
Provenance
Form ADV
SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
Advisors
IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
Class
Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor
n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026