MAIN STREET RETIREMENT PLANNING, LLC
Adviser information for MAIN STREET RETIREMENT PLANNING, LLC last updated from Form ADV on March 6th, 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 | Texas, 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 | 3 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 2,714 | $613.0M |
| Non-Discretionary | 0 | $0 |
| Total | 2,714 | $613.0M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 863 | $265.5M |
| HNW Individuals | 234 | $347.6M |
| 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 | 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 individuals and/or small businesses |
|---|---|
| Compensation | % of AUM |
| Other Business Activities | Insurance broker or agent |
Identifiers
| SEC RIA File Number | 801-122041 |
|---|---|
| SEC ERA File Number | 801-122041 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 313051 |
| Legal Entity Identifier | None |
Principal Office
779 W MAIN STREETCOPPELL
TX
United States
Monday - Friday, 8:00 AM - 5:00 PM
Tel: 972-393-0376, Fax: 972-393-0327
Chief Compliance Officer
ELIAS ROBERT DRAGON
779 W MAIN STREET
COPPELL
TX
United States
Tel:
972-393-0376
Fax:
972-393-0327
E**@***********************M
(Full email address available in API data)
Regulatory Contact
JENNIFER ANN DRAGON
779 W MAIN STREET
COPPELL
TX
United States
Tel:
972-393-0376
Fax:
972-393-0327
J*******@***********************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 |
|---|---|---|---|---|---|
| DRAGON, ELIAS, ROBERT | Individual | – | CHIEF COMPLIANCE OFFICER/CHIEF FINANCIAL OFFICER/OWNER | 02/2021 | 50-75% |
| ELIAS THOMAS DRAGON IRREVOCABLE TRUST | Domestic Entity | – | OWNER | 02/2021 | 10-25% |
| JESSICA MARIE KREHEL IRREVOCABLE TRUST | Domestic Entity | – | OWNER | 02/2021 | 10-25% |
| JENNIFER ANN DRAGON IRREVOCABLE TRUST | Domestic Entity | – | OWNER | 02/2021 | 10-25% |
| Dragon, Jennifer, Ann | Individual | JENNIFER ANN DRAGON IRREVOCABLE TRUST | TRUSTEE | 02/2021 | |
| Dragon, Jennifer, Ann | Individual | – | CHIEF OPERATING OFFICER | 02/2021 | < 5% |
| KREHEL, MARK, JOSEPH | Individual | – | CHIEF TECHNICAL OFFICER | 02/2021 | < 5% |
| KREHEL, JESSICA, M | Individual | JESSICA MARIE KREHEL IRREVOCABLE TRUST | TRUSTEE | 02/2021 | |
| Dragon, Elias, Thomas | Individual | ELIAS THOMAS DRAGON IRREVOCABLE TRUST | TRUSTEE | 02/2021 |