MAIN MANAGEMENT FUND ADVISORS, LLC
Adviser information for MAIN MANAGEMENT FUND ADVISORS, LLC last updated from Form ADV on March 29th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 19 |
|---|---|
| Investment Advisory/Research | 16 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 15 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 1 | $370.5M |
| Non-Discretionary | 0 | $0 |
| Total | 1 | $370.5M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 1 | $370.5M |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| 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 | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for investment companies |
|---|---|
| Compensation | % of AUM |
Principal Office
601 CALIFORNIA STREETSUITE 200
SAN FRANCISCO
CA
United States
Monday - Friday, 8:00 AM TO 5:00 PM
Tel: 415-217-5800, Fax: 415-217-5809
Websites
Chief Compliance Officer
HAFEEZ A. ESMAIL
601 CALIFORNIA STREET
SUITE 200
SAN FRANCISCO
CA
United States
Tel:
415-217-5805
Fax:
415-217-5809
E*****@**********M
(Full email address available in API data)
Regulatory Contact
KIM D. ARTHUR
PRESIDENT AND CHIEF EXECUTIVE OFFICER
601 CALIFORNIA STREET
SUITE 200
SAN FRANCISCO
CA
United States
Tel:
415-217-5801
Fax:
415-217-5809
A*****@**********M
(Full email address available in API data)
Industry Affiliates
| MAIN MANAGEMENT ETF ADVISORS, LLC | Other investment adviser, including financial planners |
| MAIN MANAGEMENT, LLC | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| DOCKER, BLAINE | Individual | – | SECRETARY AND CHIEF OPERATING OFFICER | 09/2015 | < 5% |
| ESMAIL, HAFEEZ, AKBER | Individual | – | CHIEF COMPLIANCE OFFICER | 09/2015 | < 5% |
| ARTHUR, KIM, DAVID | Individual | – | PRESIDENT AND CHIEF EXECUTIVE OFFICER | 09/2015 | < 5% |
| MAIN MANAGEMENT, LLC | Domestic Entity | – | MANAGING MEMBER | 09/2015 | > 75% |
| ARTHUR, KIM, DAVID | Individual | MAIN MANAGEMENT, LLC | MANAGING MEMBER, CEO AND PRESIDENT | 08/2002 | 25-50% |
| MINER, MARY | Individual | – | MEMBER | 12/2016 | 5-10% |
| ANDERSON, MARTIN | Individual | – | MEMBER | 12/2016 | 5-10% |
No. Employees, Historic
RAUM, Historic
No. Clients, Historic
Holdings
From latest 13F, filed August 15th, 2024 for period ending June 30th, 2024
| Name | Class | Value $USD | # Shares | Private Fund |
|---|---|---|---|---|
| VanEck Semiconductor ETF USD Class | COM | 75K | 286K | – |
| SPDR S&P 500 ETF Trust USD Class | COM | 270K | 496K | – |
| iShares 20 Year Treasury Bond ETF USD Class | COM | 46K | 504K | – |
| SPDR S&P Biotech ETF USD Class | COM | 55K | 598K | – |
| Communication Services Select Sector SPDR Fund USD Class | COM | 58K | 676K | – |
| Utilities Select Sector SPDR Fund USD Class | COM | 51K | 750K | – |