MAIN MANAGEMENT ETF ADVISORS, LLC
Adviser information for MAIN MANAGEMENT ETF 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 | 3 | $1.7B |
| Non-Discretionary | 0 | $0 |
| Total | 3 | $1.7B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 3 | $1.7B |
| 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 - 5:00 PM
Tel: 415-217-5800, Fax: 415-217-5809
Websites
Chief Compliance Officer
HAFEEZ 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 FUND 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, Anderson | Individual | – | SECRETARY AND CHIEF OPERATING OFFICER | 02/2017 | < 5% |
| ESMAIL, HAFEEZ, AKBER | Individual | – | CHIEF COMPLIANCE OFFICER | 02/2017 | < 5% |
| ARTHUR, KIM, DAVID | Individual | – | PRESIDENT AND CHIEF EXECUTIVE OFFICER | 02/2017 | < 5% |
| MAIN MANAGEMENT, LLC | Domestic Entity | – | MANAGING MEMBER AND SOLE OWNER | 02/2017 | > 75% |
| ARTHUR, KIM, DAVID | Individual | MAIN MANAGEMENT, LLC | MANAGING MEMBER, CEO AND PRESIDENT | 08/2002 | 25-50% |
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 Oil Services ETF USD Class | COM | 16K | 51K | – |
| ARK Genomic Revolution ETF USD Class | COM | 56K | 2M | – |
| SPDR Bloomberg 1-3 Month T-Bill ETF USD Class | COM | 14 | 150 | – |
| iShares Biotechnology ETF USD Class | COM | 79K | 579K | – |
| iShares Expanded Tech-Software Sector ETF USD Class | COM | 78K | 900K | – |
| iShares S&P Mid-Cap 400 Growth ETF USD Class | COM | 260K | 3M | – |
| iShares Core S&P Small-Cap ETF | COM | 77K | 721K | – |
| SPDR S&P Regional Banking ETF USD Class | COM | 125K | 3M | – |
| Invesco QQQ Trust Series 1 USD Class | COM | 263K | 548K | – |
| VanEck Semiconductor ETF USD Class | COM | 180K | 690K | – |
| Vanguard Energy ETF | COM | 92K | 721K | – |
| Communication Services Select Sector SPDR Fund USD Class | COM | 247K | 3M | – |
| Technology Select Sector SPDR Fund USD Class | COM | 198K | 874K | – |
| Health Care Select Sector SPDR Fund USD Class | COM | 83K | 568K | – |
| Defiance Quantum ETF USD Class | COM | 15K | 233K | – |
| Bitwise Crypto Industry Innovators ETF USD Class | COM | 12K | 922K | – |
| First Trust Nasdaq Artificial Intelligence and Robotics ETF USD Class | COM | 12K | 276K | – |
| Global X Artificial Intelligence & Technology ETF USD Class | COM | 15K | 408K | – |
| Renaissance IPO ETF USD Class | COM | 15K | 366K | – |
| ARK Fintech Innovation ETF USD Class | COM | 16K | 587K | – |
| ARK Genomic Revolution ETF USD Class | COM | 9K | 385K | – |
| VanEck Video Gaming and eSports ETF USD Class | COM | 15K | 226K | – |
| Proshares Online Retail ETF USD Class | COM | 10K | 257K | – |
| First Trust Cloud Computing ETF USD Class | COM | 15K | 156K | – |
| ARK Israel Innovative Technology ETF USD Class | COM | 6K | 298K | – |
| INQQ The India Internet ETF USD Class | COM | 1K | 86K | – |
| Franklin FTSE China ETF | COM | 11K | 680K | – |
| Franklin FTSE Germany ETF USD Class | COM | 3K | 128K | – |
| Franklin FTSE India ETF | COM | 8K | 204K | – |
| Franklin FTSE Mexico ETF | COM | 10K | 347K | – |
| iShares MSCI Poland ETF USD Class | COM | 4K | 175K | – |
| iShares MSCI Germany ETF USD Class | COM | 7K | 231K | – |
| iShares MSCI Hong Kong ETF USD Class | COM | 8K | 518K | – |
| iShares MSCI Netherlands ETF USD Class | COM | 6K | 123K | – |
| Franklin FTSE Brazil ETF USD Class | COM | 7K | 442K | – |
| Franklin FTSE Japan ETF USD Class | COM | 18K | 625K | – |
| Franklin FTSE South Korea ETF USD Class | COM | 7K | 343K | – |
| Franklin FTSE Taiwan ETF USD Class | COM | 9K | 194K | – |
| iShares MSCI Japan Small-Cap ETF USD Class | COM | 4K | 63K | – |
| iShares MSCI India Small-Cap ETF USD Class | COM | 4K | 52K | – |