KAYE CAPITAL MANAGEMENT

Advisory Business

Type of Organization	Corporation
Fiscal Year End	DECEMBER
Legal Location	California, United States

Employees

Total Number of Employees	6
Investment Advisory/Research	3
Registered Broker-Dealer Representatives	0
Registered State Investment Advisers	3
Licensed Agents of an Insurance Company	3
No. of Firms/People that Solicit Clients	0

RAUM

Provides Management of Securities Portfolios	Yes

Type	Accounts	RAUM
Discretionary	1,152	$643.2M
Non-Discretionary	95	$25.5M
Total	1,247	$668.7M

Clients

Type	Number	RAUM
Individuals	188	$60.6M
HNW Individuals	114	$244.4M
Banking or thrift institutions	0	$0
Investment companies	0	$0
Business development companies	0	$0
Pooled investment vehicles	0	$0
Pension and profit sharing plans	480	$350.7M
Charitable organizations	<5	$7.5M
State or municipal gov entities	0	$0
Other investment advisers	0	$0
Insurance companies	0	$0
Sovereign wealth funds and foreign official institutions	0	$0
Corporations or other businesses	<5	$5.4M
Other	0	$0

Type	Number
No. of Non-RAUM Clients	12
No. of Non-U.S. Clients	0
No. of Financial Planning Clients	11-25

Services

Advisory Services	Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting servicesSelection of other advisers (including private fund managers)
Compensation	% of AUMHourly chargesFixed feesPERCENTAGE RETIREMENT ASSETS UNDER ADVISEMENT

Identifiers

SEC RIA File Number	801-57510
SEC ERA File Number	801-57510
SEC CIK Numbers	1111797
SEC CRD Numbers	109329
Legal Entity Identifier	None

Principal Office

713 CAMPUS SQUARE WEST
EL SEGUNDO
CA
United States

Websites

Chief Compliance Officer

No. Employees, Historic

RAUM, Historic

No. Clients, Historic