0001666788-18-000003.txt : 20180514
0001666788-18-000003.hdr.sgml : 20180514
20180514143846
ACCESSION NUMBER: 0001666788-18-000003
CONFORMED SUBMISSION TYPE: 13F-HR/A
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20180331
FILED AS OF DATE: 20180514
DATE AS OF CHANGE: 20180514
EFFECTIVENESS DATE: 20180514
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: Kalos Management, Inc.
CENTRAL INDEX KEY: 0001666788
IRS NUMBER: 201642804
STATE OF INCORPORATION: 2Q
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 13F-HR/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-17377
FILM NUMBER: 18830019
BUSINESS ADDRESS:
STREET 1: 11525 PARK WOODS CIRCLE
STREET 2: SUITE 250
CITY: ALPHARETTA
STATE: GA
ZIP: 30005
BUSINESS PHONE: 678-356-1100
MAIL ADDRESS:
STREET 1: 11525 PARK WOODS CIRCLE
STREET 2: SUITE 250
CITY: ALPHARETTA
STATE: GA
ZIP: 30005
13F-HR/A
1
primary_doc.xml
13F-HR/A
LIVE
false
true
false
0001666788
XXXXXXXX
03-31-2018
03-31-2018
true
1
RESTATEMENT
Kalos Management, Inc.
11525 PARK WOODS CIRCLE
SUITE 250
ALPHARETTA
GA
30005
13F HOLDINGS REPORT
028-17377
N
John Williams
Chief Compliance Officer
770-407-5403
John Williams
Alpharetta
GA
05-14-2018
0
126
169151
false
INFORMATION TABLE
2
table13f-hr1q2018cor.xml
ACADIA PHARMACEUTICALS INC
COM
004225108
416
17850
SH
DFND
0
17850
0
AFLAC INC
COM
001055102
748
17072
SH
DFND
0
17072
0
ALPS ETF TR ALERIAN MLP
ETF
00162Q866
422
44670
SH
DFND
0
44670
0
American International Group, Inc.
COM
026874784
2576
47343
SH
DFND
0
47343
0
AQUINOX PHARMACEUTICALS INC
COM
03842B101
226
15850
SH
DFND
0
15850
0
Argan Inc Com
COM
04010E109
613
14280
SH
DFND
0
14280
0
AT&T INC
COM
00206R102
606
17252
SH
DFND
0
17252
0
BAXTER INTL INC COM
COM
071813109
743
11424
SH
DFND
0
11424
0
BIOCRYST PHARMACEUTICALS INC
COM
09058V103
156
32500
SH
DFND
0
32500
0
BLACKROCK KELSO CAP
COM
092533108
109
17739
SH
DFND
0
17739
0
BLUEROCK RESIDENTIAL GROWTH
COM
09627J102
339
40881
SH
DFND
0
40881
0
BROADCOM LIMITED
COM
Y09827109
5833
24748
SH
DFND
0
24748
0
CERNER CORP
COM
156782104
932
16053
SH
DFND
0
16053
0
Church & Dwight Inc
COM
171340102
2686
53350
SH
DFND
0
53350
0
COLONY NORTHSTAR CREDIT REAL
COM
19626A101
1245
64953
SH
DFND
0
64953
0
COLONY NORTHSTAR INC
COM
19625W104
114
18412
SH
DFND
0
18412
0
CONATUS PHARMACEUTICALS INC
COM
20600T108
82
15000
SH
DFND
0
15000
0
CORPORATE CAP TRUST INC
COM
219880101
1484
92374
SH
DFND
0
92374
0
COSTAMARE INC
COM
Y1771G102
3096
496181
SH
DFND
0
496181
0
CVS HEALTH CORPORATION
COM
126650100
1485
23783
SH
DFND
0
23783
0
CYTOSORBENTS CORPORATION
COM
23283X206
125
17650
SH
DFND
0
17650
0
DIREXION NASDAQ 100 EQL WGHT IDX ETF
ETF
25459Y207
939
21034
SH
DFND
0
21034
0
ENBRIDGE INC
COM
29250N105
1910
60623
SH
DFND
0
60623
0
ENCOMPASS HEALTH CORPORATION
COM
29261A100
4584
80278
SH
DFND
0
80278
0
ENERPLUS CORP COM
COM
292766102
510
45320
SH
DFND
0
45320
0
ENSCO PLC
COM
G3157S106
90
18847
SH
DFND
0
18847
0
EXLSERVICE HOLDINGS INC COM
COM
302081104
664
11910
SH
DFND
0
11910
0
FS ENERGY & POWER FUND
COM
30264D109
292
41576
SH
DFND
0
41576
0
FS GLOBAL CR OPPORTUNITIES FD
COM
30291B100
111
14902
SH
DFND
0
14902
0
FS INVESTMENT CORPORATION
COM
302635107
3155
410521
SH
DFND
0
410521
0
FS INVT CORP II
COM
35952V105
145
16261
SH
DFND
0
16261
0
GENERAL ELECTRIC COMPANY
COM
369604103
160
11427
SH
DFND
0
11427
0
GLOBAL NET LEASE INC
COM
379378201
1223
64496
SH
DFND
0
64496
0
GLOBAL X FDS
COM
37950E747
459
33411
SH
DFND
0
33411
0
GRAPHIC PACKAGING HLDG CO COM
COM
388689101
301
19638
SH
DFND
0
19638
0
GREENBRIER COMPANIES INC
COM
393657101
2604
51874
SH
DFND
0
51874
0
GROWLIFE INC COM
COM
39985X104
3
216000
SH
DFND
0
216000
0
HANESBRANDS INC
COM
410345102
1856
100700
SH
DFND
0
100700
0
Henry Schein Inc
COM
806407102
860
12808
SH
DFND
0
12808
0
HINES GLOBAL REIT INC
COM
433240108
108
12072
SH
DFND
0
12072
0
HLTHCARE TR OF AMER REIT
COM
42225P501
296
11325
SH
DFND
0
11325
0
Htg Molecular Diagnostics Inc
COM
40434H104
137
38000
SH
DFND
0
38000
0
INTEL CORP
COM
458140100
4790
92174
SH
DFND
0
92174
0
INVESCO MUNICIPAL TRUST
COM
46131J103
175
14750
SH
DFND
0
14750
0
ISHARES INC
ETF
464286202
556
21959
SH
DFND
0
21959
0
ISHARES INC
ETF
464286764
444
13650
SH
DFND
0
13650
0
ISHARES INC
ETF
46434G780
486
18025
SH
DFND
0
18025
0
ISHARES INC
ETF
46434G830
495
15762
SH
DFND
0
15762
0
iShares Inc Mcsi Chile Investable
ETF
464286640
719
13567
SH
DFND
0
13567
0
ISHARES MSCI BRAZIL ETF
ETF
464286400
688
15331
SH
DFND
0
15331
0
iShares MSCI Emerging Markets Asia
ETF
464286426
966
12900
SH
DFND
0
12900
0
ishares Msci Europe Small-Cap
ETF
464288497
1745
30148
SH
DFND
0
30148
0
ISHARES MSCI GERMANY ETF
ETF
464286806
494
15424
SH
DFND
0
15424
0
ISHARES MSCI HONG KONG ETF
ETF
464286871
509
20171
SH
DFND
0
20171
0
iShares MSCI India
ETF
46429B598
573
16794
SH
DFND
0
16794
0
iShares MSCI Taiwan Index Fd
ETF
46434G772
583
15087
SH
DFND
0
15087
0
ISHARES S&P 500 GROWTH ETF
ETF
464287309
2229
14379
SH
DFND
0
14379
0
iShares S&P Emerging Mkts
ETF
464288216
793
24542
SH
DFND
0
24542
0
ISHARES S&P MID-CAP 400 GROWTH ETF
ETF
464287606
4587
21010
SH
DFND
0
21010
0
ISHARES S&P SMALL-CAP 600 VALUE ETF
ETF
464287879
4712
31239
SH
DFND
0
31239
0
ISHARES SELECT DIVIDEND ETF
ETF
464287168
1056
11103
SH
DFND
0
11103
0
iShares Silver Trust Index Fund
ETF
46428Q109
201
13064
SH
DFND
0
13064
0
iShares Tr Msci All Peru Capped Index Fd
ETF
464289842
590
13871
SH
DFND
0
13871
0
iShares Tr Msci Poland Investable
ETF
46429B606
619
24662
SH
DFND
0
24662
0
ISHARES TRUST
ETF
464287663
876
16494
SH
DFND
0
16494
0
ISHARES TRUST
ETF
464288521
835
18541
SH
DFND
0
18541
0
ISHARES TRUST
ETF
46435G334
399
11579
SH
DFND
0
11579
0
ISHARES U.S. BASIC MATERIALS ETF
ETF
464287838
4238
44113
SH
DFND
0
44113
0
ISHARES U.S. REAL ESTATE ETF
ETF
464287739
1043
13833
SH
DFND
0
13833
0
JOHNSON & JOHNSON
COM
478160104
3155
24595
SH
DFND
0
24595
0
JP MORGAN CHASE & CO
COM
48127A161
3059
28229
SH
DFND
0
28229
0
KEYW HOLDING CORP
COM
493723100
694
87305
SH
DFND
0
87305
0
KLA-Tencor Corporation
COM
482480100
2452
22501
SH
DFND
0
22501
0
LADENBURG THALMAN FIN SVCS INC PFD SER A
COM
50575Q201
439
17345
SH
DFND
0
17345
0
Lpl Finl Hldgs Inc Com
COM
50212V100
770
12624
SH
DFND
0
12624
0
MAIN STREET CAPITAL
COM
56035L104
497
12846
SH
DFND
0
12846
0
Market Vectors Russia ETF
ETF
92189F403
588
25869
SH
DFND
0
25869
0
MEDLEY CAPITAL CORPORATION
COM
58503F106
57
13500
SH
DFND
0
13500
0
MERCK & CO INC
COM
58933Y105
590
10116
SH
DFND
0
10116
0
MURPHY OIL CORPORATION
COM
626717102
2181
84382
SH
DFND
0
84382
0
Navios Maritime Ptn
COM
Y62267102
24
13872
SH
DFND
0
13872
0
NEW YORK REIT INC
COM
64976L109
287
16014
SH
DFND
0
16014
0
Norwegian Cruise Line Hldgs Ltd Com Usd0
COM
G66721104
786
14841
SH
DFND
0
14841
0
NOVO NORDISK A/S-ADR
COM
670100205
3417
69363
SH
DFND
0
69363
0
NUVEEN AMT FREE QUALITY
COM
670657105
400
30802
SH
DFND
0
30802
0
Pennsylvania Real Estate Investment Trust
COM
709102107
860
89151
SH
DFND
0
89151
0
Pimco High Income Fund
COM
722014107
101
13341
SH
DFND
0
13341
0
PIONEER MUNICIPAL HIGH INCOME
COM
723762100
186
17254
SH
DFND
0
17254
0
Powershares ETF Trust II Intl
ETF
73936Q835
937
33675
SH
DFND
0
33675
0
PROSHARES S&P 500 DIV ARISTOCRAT ETF
ETF
74348A467
713
11429
SH
DFND
0
11429
0
Qorvo Inc
COM
74736K101
737
10470
SH
DFND
0
10470
0
REALTY INCOME CORP
COM
756109104
2975
57542
SH
DFND
0
57542
0
Royal Bank Of Scotland Group Plc
COM
780097689
810
109460
SH
DFND
0
109460
0
RUDOLPH TECHNOLOGIES INC COM
COM
781270103
503
18177
SH
DFND
0
18177
0
Sanchez Energy Corp
COM
79970Y105
33
10551
SH
DFND
0
10551
0
Sanchez Midstream Partners
COM
79971C201
163
15830
SH
DFND
0
15830
0
SCHWAB EMERGING MARKETS EQUITY ETF
ETF
808524706
663
23634
SH
DFND
0
23634
0
SCHWAB FUNDA EMG MKTS LARGE COM ETF
ETF
808524730
997
32378
SH
DFND
0
32378
0
SCHWAB US BROAD MARKET ETF
ETF
808524102
3286
49791
SH
DFND
0
49791
0
SCHWAB US DIVIDEND EQUITY ETF
ETF
808524797
849
17281
SH
DFND
0
17281
0
SCHWAB US LARGE CAP GROWTH ETF
ETF
808524300
1598
21304
SH
DFND
0
21304
0
SCHWAB US LARGE CAP ETF
ETF
808524201
2526
38777
SH
DFND
0
38777
0
SIRIUS XM HLDGS INC
COM
82968B103
141
22717
SH
DFND
0
22717
0
SOUTHWEST AIRLINES
COM
844741108
3124
55689
SH
DFND
0
55689
0
SPDR DOW JONES INDUSTRIAL AVERAGE ETF
ETF
78467X109
4709
19509
SH
DFND
0
19509
0
SPDR S&P 500 ETF TRUST
ETF
78462F103
4939
18764
SH
DFND
0
18764
0
SPDR S&P Emerging Markets Small Cap
ETF
78463X756
1398
26643
SH
DFND
0
26643
0
SPDR S&P MidCap 400
ETF
78467Y107
3555
10404
SH
DFND
0
10404
0
Spdr Ser Tr Db Intl Govt Inflation
ETF
78464A490
748
12565
SH
DFND
0
12565
0
SPDR SERIES TRUST
ETF
78464A359
2029
39072
SH
DFND
0
39072
0
SPDR SERIES TRUST
ETF
78464A508
407
13853
SH
DFND
0
13853
0
TERNIUM S A
COM
880890108
2643
81319
SH
DFND
0
81319
0
TEXAS INSTRUMENTS INCORPORATED
COM
882508104
2519
24257
SH
DFND
0
24257
0
Toronto Dominion Bk Ont Com New
COM
891160509
2816
49535
SH
DFND
0
49535
0
UNITED DEVELOPMENT FUNDING IV
COM
910187103
120
34706
SH
DFND
0
34706
0
United Natural Foods Inc
COM
911163103
797
18584
SH
DFND
0
18584
0
UNUM GROUP
COM
91529Y106
2753
57800
SH
DFND
0
57800
0
VANGUARD FTSE DEVELOPED
ETF
921943858
1588
35900
SH
DFND
0
35900
0
VANGUARD FTSE EMERGING MARKETS
ETF
922042858
1844
39276
SH
DFND
0
39276
0
VANGUARD S&P 500 ETF
ETF
922908363
4815
19887
SH
DFND
0
19887
0
VENTAS INC
COM
92276F100
728
13801
SH
DFND
0
13801
0
VEREIT INC
COM
92339V100
4266
611652
SH
DFND
0
611652
0
WESTERN ALLIANCE BANCORP COM
COM
957638109
891
15341
SH
DFND
0
15341
0
WYNDHAM WORLDWIDE CORPORATION
COM
98310W108
3414
29831
SH
DFND
0
29831
0
YAMANA GOLD INC
COM
98462Y100
47
17077
SH
DFND
0
17077
0
Zebra Technologies Corp Cl A
COM
989207105
1683
12097
SH
DFND
0
12097
0