Steven D. Friedman

KALO CAPITAL MANAGEMENT

San Diego, CA

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CRD#: 2786608

Professional summary

Steven David Friedman, CFA, who also goes by Steve Friedman, is a registered financial advisor currently at KALO CAPITAL MANAGEMENT, LLC located in San Diego, California.

Steven is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. Steven has worked at 4 firms and has passed the Series 63, Series 55 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Steve Friedman

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

I also serve as the Portfolio Manager for Kalo Capital Management, LP (Hedge Fund). Kalo serves as the General Partner for this Fund. As the investments that are selected and monitored for the Fund are similar to those selected and monitored for Kalo, this activity does not significantly impact time allotted to management of Kalo or Kalo client portfolio. I also have a minority ownership in ABF Enterprises, Inc, which is the General Partner for Potomac Partners, LP (a family fund of funds hedge fund). I also serve as Portfolio Manager for Potomac Partners, LP. This is an investment related business and creates a potential conflict of interest. I spend less than 5% of time during market hours and for each month pertaining to ABF Enterprises or Potomac Partners. I do not receive direct compensation for my role with ABF Enterprises or Potomac Partners.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven David Friedman's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFA

Chartered Financial Analyst

Experience

Current

June 29, 2011 - Present

KALO CAPITAL MANAGEMENT, LLC

RIA

CRD#: 157232

San Diego, CA

Past

September 30, 2008 - July 7, 2009

BERNARD L. MADOFF INVESTMENT SECURITIES LLC

CRD#: 2625

NEW YORK, NY

Past

February 2, 1999 - May 17, 1999

CHESTNUT PARTNERS, INC.

CRD#: 38387

BOSTON, MA

Past

September 5, 1996 - July 6, 1998

LAZARD FRERES & CO. LLC

CRD#: 2528

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(4/2/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 10/31/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 55

Date: 10/20/2008

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 9/4/1996

General Securities Representative Examination

Current Firm

KALO CAPITAL MANAGEMENT, LLC

KALO CAPITAL MANAGEMENT, LLC | KALO, LLC

CRD#: 157232 / SEC#:

California

Registered Investment Advisory firm - (4/2/2021 Approved)

New Jersey

Registered Investment Advisory firm - (7/2/2021 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

4969 Beauchamp Court, San Diego, CA 92130

Mailing Address

Phone number

(732) 860-5256

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	7
AUM (Assets Under Management)	$ 6,062,679

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Steven D. Friedman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven David Friedman's CRS (Customer Relationship Summary).

Certified licenses

Experience

KALO CAPITAL MANAGEMENT, LLC

BERNARD L. MADOFF INVESTMENT SECURITIES LLC

CHESTNUT PARTNERS, INC.

LAZARD FRERES & CO. LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 10/31/1996

Series 55

Date: 10/20/2008

Series 7

Date: 9/4/1996

Current Firm

KALO CAPITAL MANAGEMENT, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

KALO CAPITAL MANAGEMENT, LLC

TRUST BUT VERIFY

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