MAIN STREET FINANCIAL LIFE ADVISORS, LLC
Adviser information for MAIN STREET FINANCIAL LIFE ADVISORS, LLC last updated from Form ADV on September 6th, 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 | New Jersey, United States |
Employees
| Total Number of Employees | 6 |
|---|---|
| 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 | 257 | $63.1M |
| Non-Discretionary | 3 | $254,507 |
| Total | 260 | $63.4M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 42 | $13.0M |
| HNW Individuals | 14 | $50.4M |
| 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 | 10 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPension consulting servicesSelection of other advisers (including private fund managers)ADVICE ON MATTERS NOT INVOLVING SECURITIES. |
|---|---|
| Compensation | % of AUMHourly charges |
Identifiers
| SEC RIA File Number | 801-60820 |
|---|---|
| SEC ERA File Number | 801-60820 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 118544 |
| Legal Entity Identifier | None |
Principal Office
212 W. ROUTE 38SUITE 600
MOORESTOWN
NJ
United States
Monday - Friday, 9:00 AM TO 5:30 PM
Tel: 856-234-3550, Fax: 856-234-3577
Chief Compliance Officer
J. JOSEPH ROMAN
MANAGING MEMBER
212 W. ROUTE 38
SUITE 600
MOORESTOWN
NJ
United States
Tel:
856-234-3550
Fax:
856-234-3577
J*****@****************M
(Full email address available in API data)
Industry Affiliates
| LIFETIME INSURANCE STRATEGY ADVISORS, LLC | Insurance company or agency |
| ROMAN & KULPA, LLC | Accountant or accounting firm |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| ROMAN, LISA, ANN | Individual | – | MEMBER / ADMINISTRATIVE PRINCIPAL | 05/2010 | 5-10% |
| ROMAN, JAMES, JOSEPH | Individual | – | MANAGING MEMBER/CHIEF COMPLIANCE OFFICER | 05/1999 | > 75% |
| KULPA, MATTHEW, JOSEPH | Individual | – | PARTNER | 01/2019 | < 5% |