The Endowment Model Specialists
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Daniel Wildermuth

Co-Founder & Chief Executive Officer

Daniel is a seasoned 25+ year veteran of the financial services industry. He currently serves as the CEO of Kalos Financial, the firm he and Carol Wildermuth founded in 2004. In his role as CEO, Daniel spearheads the strategic direction of the firm and assumes overall executive responsibility for the Kalos Family of Companies – Kalos Capital, the broker-dealer, and Kalos Management, the RIA. He is recognized as an innovator within the financial services industry and is credited with bringing endowment style investing, previously reserved for the ultra-wealthy, to every day investors. He also created, and serves as the lead Portfolio Manager for, the Kalos Managed Money Portfolios, meant to satisfy the investment needs for a range of investors. He is the author of two books published by McGraw-Hill that outline Kalos’ investment approach - Wise Money: Minimize Your Volatility and Increase Your Control and How to Keep and Grow Retirement Assets. Prior to Kalos Financial, he and Carol opened a financial advisory practice where they consistently raised more than $25 million per year. That practice thrives today and Daniel continues to oversee it – meeting with clients and reviewing investment strategies. Daniel’s career has included positions at Morgan Stanley & Co. and UBS. He has also served as a consultant to senior management teams of multinational financial institutions where his insights and recommendations helped them improve services and offerings to investors in North America, Europe, Asia and Australia. Daniel is a member of the Investment Program Association (IPA) and Alternative & Direct Investment Securities Association (ADISA). He earned an MBA in Finance from the Anderson School at UCLA and a Bachelor’s Degree in Engineering from Stanford University.  Daniel holds Series 7, 24, 28, 63 and 66 securities registrations.

 

Carol Wildermuth

Co-Founder & President

Carol and Daniel Wildermuth co-founded Kalos Financial in 2004. In her role as President, Carol works with the management teams within the Kalos Family of Companies – Kalos Capital, the broker-dealer, and Kalos Management, the RIA, to drive strategy, design and improve processes, and leverage resources to provide Kalos advisors with industry-leading products, services and support. Prior to founding Kalos Financial, Daniel and Carol opened a financial advisory practice which still thrives today. Her 25+ year career began advising individual investors with IDS, which is now Ameriprise. In her first year, she was recognized and awarded as an outstanding first year advisor. She later joined the exclusive private client division of Morgan Stanley in New York City and then moved to Los Angeles where she was an instrumental member of one of Morgan Stanley's largest global private client investor teams. Carol later joined Lehman Brothers Asia as the Branch Manager of their Hong Kong office and Southeast Asian branch. In this capacity, she oversaw one of Southeast Asia's largest private client divisions including the management of approximately 50 financial professionals. Carol earned a bachelor’s degree in Economics, with a minor in International Business, from Pacific Lutheran University in Tacoma, Wash. She holds Series 4, 7, 8, 24, 28, 53, 63 and 66 securities registrations.

 

John Williams

Senior Vice President, Chief Compliance Officer

Joined Kalos: 2005

As Chief Compliance Officer, John manages the firm’s compliance program for both the broker-dealer and Registered Investment Advisor. He is responsible for directing the Firm’s compliance and licensing operations, ensuring compliance with current SEC, FINRA and state rules and regulations, conducting branch examinations, monitoring Firm and advisor licensing, and creating and managing supervisory processes. He has more than 30 years of industry experience, with the majority of his experience being compliance related. Before joining Kalos, John served as a Managing Director at Bear Stearns, Head of International Operations & Compliance at Smith Barney in Sydney, Australia, and held compliance-related positions with Banc of America Securities and Paine Webber/UBS. John holds a bachelor of science degree in Financial Management from Clemson University and Series 3, 4, 7, 12, 14, 24, 53, 63, and 65 securities registrations. 

 

Larry Lyons, ChFC®

Senior Vice President, Due Diligence Officer

Joined Kalos: 2005

Larry is a 20+ year veteran of the financial services industry. As the firm’s due diligence officer, he manages the initial and ongoing reviews of all alternative investment products considered for, and added to, the Kalos platform. He is responsible for coordinating input from the firm’s third-party advisers, including independent third-party due diligence firms and legal counsel, participating in on-site due diligence meetings with product sponsor executives and managing the Due Diligence Department. Larry began his career in 1989, with Guardian Life Insurance Co. of America in New York; working in the Employee Benefits Division for eight years. From there he moved to Principal Financial Group in Des Moines, Iowa where he worked in the Retirement Services Division of the company for eight years. He is a highly sought after due diligence presenter for industry conferences. In 2016, Larry was elected to a two-year term as a Board Member for the Alternative & Direct Investment Securities Association (ADISA). He also is a member of the Investment Program Association (IPA) and a Chartered Financial Consultant (ChFC®). Larry holds a Financial Planning Certificate from Florida State University and earned a bachelor’s degree in Business Education from The University of Georgia. He holds Series 7, 63, 66 and 24 securities registrations.

 

Chrissy Lee

Chief Operating Officer

Joined Kalos: 2007

Chrissy manages the day-to-day operations of the firm.   She is responsible for leading the vision, strategy, and talent management for Kalos Financial as well as leading the firm’s operational strategy with a focus on development of efficient systems, processes, and technology platforms to best support advisors.  Chrissy joined Kalos in January 2007 where she managed the operations processing before moving to the advisory side of the firm under Kalos Management where she served as the National Accounts Manager,  overseeing all managed accounts from implementation to block trading.  Prior to joining Kalos, Chrissy was with Farmers Insurance where she managed the Fixed Products and Property & Casualty Department.  She attended California State University – Northridge majoring in English Literature.  She holds FINRA Series 7, 66, and 24 securities registrations.

 

Dan Meehan

Senior Vice President, Business Development

Joined Kalos: 2010

After eight years in practice as a financial advisor and branch manager, Dan moved into recruiting, business development and institutional sales roles for firms such as Raymond James and TD Ameritrade. In his current role at Kalos, he is responsible for creating and implementing Kalos’ growth strategy and communicating the Kalos story nationally to attract new financial advisors to the firm. Dan is a member of the Alternative & Direct Investment Securities Association (ADISA). He earned a bachelor’s degree in Philosophy from State University of New York at Buffalo. Dan holds Series 7, 63, 65, and 24 securities registrations. 

 

Erik Setterlind

Senior Vice President, Kalos Management

Joined Kalos: 2014

As Senior Vice President of Kalos Management, Erik leads operations for all of Kalos’ fee-based business, including third-party money managers available on the Kalos platform and Kalos’ proprietary managed money products. He has more than 15 years of industry experience that includes business development positions at Schwab and E*Trade. He also worked as an equity and derivatives trader for a boutique, Atlanta-based brokerage firm. Erik earned an MBA from the University of Colorado-Denver and a bachelor’s degree in English from Colorado State University in Fort Collins. He holds Series 7 and 63 securities registrations.

 

Joan Tesh

Senior Vice President of Finance & Human Resources

Joined Kalos: 2016

As Senior Vice President of Finance and Human Resources, Joan leads the team responsible for commission processing, vendor payments, financial analysis and reporting, employee compensation and benefits. As a Certified Public Accountant (CPA) with over 20 years in the financial services industry, she brings a variety of experience to Kalos Financial. Joan began her career in the audit department of KPMG, from there, she moved to Primerica Financial Services, where she was responsible for financial reporting. She later worked as Controller and vice president of Financial Development for Assurant’s pre-need division. Joan’s experience includes financial due diligence for mergers and acquisitions as well as numerous process improvement projects and system implementations. Joan earned a bachelor’s degree in accounting from Stetson University and a master’s degree in Accounting with a concentration in auditing and systems from the University of Georgia.

 

Codi Handley

I.T. Supervisor

Joined Kalos: 2012

Codi is responsible for managing the firm’s technology development. He drives sourcing for a variety of platforms, evaluates and oversees the development of technology-related projects – working with third-party firms and developers to ensure proper implementation. Codi also provides IT support for Kalos’ conferences – coordinating specific needs with each venue and managing the process once on-site. He received his bachelor’s degree in business administration from The University of Georgia.

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Securities offered through Kalos Capital, Inc., Member FINRA/SIPC/MSRB.  Investment advisory services offered through Kalos Management, Inc., an SEC Registered Investment Adviser.  Kalos Financial, Inc. is licensed as an insurance agency.  These members of the Kalos Family of Companies are separate affiliated firms that share common ownership and are represented by the Kalos Financial service mark. Located at 11525 Park Woods Circle, Alpharetta GA, 30005, Telephone 678-356-1100