MAINSTREET RIA LLC
Adviser information for MAINSTREET RIA LLC last updated from Form ADV on January 31st, 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 | Missouri, United States |
Employees
| Total Number of Employees | 3 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 3 |
| 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 | 134 | $341.0M |
| Non-Discretionary | 0 | $0 |
| Total | 134 | $341.0M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 102 | $21.0M |
| HNW Individuals | 27 | $36.6M |
| 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 | 5 | $283.4M |
| 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 | 3 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 1-10 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPension consulting servicesEducational seminars/workshops |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-121454 |
|---|---|
| SEC ERA File Number | 801-121454 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 309150 |
| Legal Entity Identifier | None |
Principal Office
6700 KEATON CORPORATE PARKWAYO'FALLON
MO
United States
MONDAY - FRIDAY, 8:30AM - 5:00PM
Tel: (888) 801-0325, Fax: None
Chief Compliance Officer
NICHOLAS OLDHAM
INVESTMENT ADVISOR REPRESENTATIVE
6700 KEATON CORPORATE PARKWAY
O'FALLON
MO
United States
Tel:
636-699-8657
Fax:
636-723-7031
N***@*****************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| OLDHAM, ROBERT, STEVEN | Individual | – | MANAGING PARTNER/INVESTMENT ADVISOR REPRESETATIVE | 07/2019 | 25-50% |
| COUNTS, RICHARD, LEE | Individual | – | MANAGING PARTNER/INVESTMENT ADVISOR REPRESENTATIVE | 08/2020 | 25-50% |
| Oldham, Nicholas, S | Individual | – | CHIEF COMPLIANCE OFFICER/INVESTMENT ADVISOR REPRESENTATIVE | 02/2021 | 25-50% |