MAINSTREAM CAPITAL MANAGEMENT
MAINSTREAM CAPITAL MANAGEMENT LLC Legal Name
Adviser information for MAINSTREAM CAPITAL MANAGEMENT last updated from Form ADV on April 3rd, 2023. 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 | 5 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 3 |
| Licensed Agents of an Insurance Company | 1 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 176 | $185.9M |
| Non-Discretionary | 0 | $0 |
| Total | 176 | $185.9M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 73 | $9.9M |
| HNW Individuals | 98 | $152.2M |
| Banking or thrift institutions | <5 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | <5 | $0 |
| Charitable organizations | <5 | $0 |
| State or municipal gov entities | <5 | $0 |
| Other investment advisers | <5 | $0 |
| Insurance companies | <5 | $0 |
| Sovereign wealth funds and foreign official institutions | <5 | $0 |
| Corporations or other businesses | 5 | $23.9M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUMFixed fees |
Identifiers
| SEC RIA File Number | 801-122460 |
|---|---|
| SEC ERA File Number | 801-122460 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 297145 |
| Legal Entity Identifier | None |
Principal Office
3435 WILSHIRE BLVD1100
LOS ANGELES
CA
United States
Monday - Friday, 8-5 EST
Tel: 860-393-1716, Fax: 800-466-9603
Websites
Chief Compliance Officer
DIXON KARMINDRO
PRINCIPAL/CCO
3435 WILSHIRE BLVD
1100
LOS ANGELES
CA
United States
Tel:
860-393-1716
Fax:
800-466-9603
D****@********************M
(Full email address available in API data)
Regulatory Contact
JONATHAN SELF
COMPLIANCE MANAGER
3455 PEACHTREE ROAD NE
5FL
ATLANTA
GA
United States
Tel:
404-596-5393
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 |
|---|---|---|---|---|---|
| KARMINDRO, DIXON | Individual | – | PRINCIPAL/CHIEF COMPLIANCE OFFICER/MANAGING PARTNER | 12/2022 | 50-75% |
| Lee, Kyongjin | Individual | – | PARTNER | 12/2022 | 50-75% |