Hedge Fund Database

MAIN MANAGEMENT, LLC

Adviser information for MAIN MANAGEMENT, LLC last updated from Form ADV on March 28th, 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 California, 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 199 $1.2B
Non-Discretionary 89 $138.6M
Total 288 $1.4B

Clients

Type Number RAUM
Individuals 66 $44.4M
HNW Individuals 123 $808.3M
Banking or thrift institutions 0 $0
Investment companies 0 $0
Business development companies 0 $0
Pooled investment vehicles 4 $230.6M
Pension and profit sharing plans 3 $6.6M
Charitable organizations 10 $65.2M
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 13 $232.8M
Other 0 $0
Type Number
No. of Non-RAUM Clients 11
No. of Non-U.S. Clients 1

Services

Advisory Services Portfolio management for individuals and/or small businessesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clients
Compensation % of AUMFixed feesPerformance-based fees

Wrap Fee Program

Offers Wrap Fee Program Yes
Acting As RAUM
Sponsor 0
Portfolio Manager 19.9M
Both for Same 0
Portfolio Manager to Program Sponsor
MANAGED ACCOUNTS CONSULTING UBS FINANCIAL SERVICES INC.

Identifiers

SEC RIA File Number 801-61113
SEC ERA File Number 801-61113
SEC CIK Numbers 1583092
SEC CRD Numbers 120361
Legal Entity Identifier None

Principal Office

601 CALIFORNIA STREET
SUITE 200
SAN FRANCISCO
CA
United States
Monday - Friday, 8-5
Tel: 415-217-5800, Fax: 415-217-5809

Websites

www.youtube.com/@mainmanagement5143 www.mainmgt.com twitter.com/mainmanagement www.linkedin.com/company/main-management-llc

Chief Compliance Officer

HAFEEZ ESMAIL
CHIEF COMPLIANCE OFFICER
601 CALIFORNIA STREET
SUITE 200
SAN FRANCISCO
CA
United States
Tel: 415-217-5805
Fax: 415-217-5809
(Full email address available in API data)

Regulatory Contact

KIM D. ARTHUR
PRESIDENT
601 CALIFORNIA STREET
SUITE 200
SAN FRANCISCO
CA
United States
Tel: 415-217-5801
Fax: 415-217-5809
(Full email address available in API data)

Industry Affiliates

MAIN MANAGEMENT ETF ADVISORS, LLC Other investment adviser, including financial planners
MAIN MANAGEMENT FUND ADVISORS, LLC Other investment adviser, including financial planners

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
CORE ENDOWMENT PORTFOLIO II, LP GLOBAL ALLOCATION WITH COVERED OPTION WRITING $59.9M $0.5M 28
LSB INVESTORS, LP Private Equity Fund $133.4M $0.0M 68
MAIN MANAGEMENT DIGITAL ASSET FUND LP Hedge Fund $12.5M $0.0M 39

Control Persons

Name Type Entity Title Since Ownership
MINER, MARY Individual – MEMBER 04/2002 5-10%
CONCIDINE, JAMES, WESLEY Individual – MANAGING MEMBER 07/2002 10-25%
FREDERICKS INVESTMENTS, LP Domestic Entity – MEMBER 07/2002 5-10%
FREDERICKS, JOHN, RICHARD Individual FREDERICKS INVESTMENTS, LP MEMBER 07/2002 > 75%
ARTHUR, KIM, DAVID Individual – MANAGING MEMBER, CEO AND PRESIDENT 08/2002 25-50%
DOCKER, BLAINE Individual – CHIEF OPERATIONS OFFICER 02/2007 10-25%
ESMAIL, HAFEEZ, AKBER Individual – CHIEF COMPLIANCE OFFICER 03/2013 < 5%

No. Employees, Historic

20100201920202021202220232024202512 on 5/20/201915 on 3/27/202015 on 6/29/202015 on 7/9/202015 on 9/8/202015 on 9/8/202015 on 3/29/202115 on 9/7/202118 on 3/31/202218 on 3/31/202319 on 3/28/2024

RAUM, Historic

2B1B02019202020212022202320242025715392076 on 5/20/2019864026978 on 3/27/2020864026978 on 6/29/2020864026978 on 7/9/2020864026978 on 9/8/2020864026978 on 9/8/2020881402269 on 3/29/2021881402269 on 9/7/20211216955908 on 3/31/20221175772484 on 3/31/20231387819141 on 3/28/2024

No. Clients, Historic

30015002019202020212022202320242025197 on 5/20/2019187 on 3/27/2020187 on 6/29/2020187 on 7/9/2020187 on 9/8/2020187 on 9/8/2020179 on 3/29/2021179 on 9/7/2021209 on 3/31/2022214 on 3/31/2023219 on 3/28/2024

Holdings

From latest 13F, filed August 15th, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
20-YEAR US TREASURIES TLT 21K 231K –
AdvisorShares Pure US Cannabis ETF MSOS 2 210 –
AEROSPACE & DEFENSE ITA 13 100 –
AGGREGATE BOND AGG 3K 27K –
AGGREGATE BONDS BND 10K 137K –
AI & ROBOTICS ROBT 85 2K –
ALL WORLD EX-US ACWX 408 8K –
ALL WORLD EX-US VEU 12K 211K –
ALL WORLD EX-US VXUS 10K 166K –
ARK INNOVATION ARKK 57 1K –
ARTIFICIAL INTELLIGENCE & TECH AIQ 449 13K –
BIOTECHNOLOGY IBB 62 452 –
BIOTECHNOLOGY XBI 24K 256K –
BITCOIN GBTC 59 1K –
BITCOIN MINERS WGMI 7 354 –
BRAZIL EWZ 41 1K –
BROKER DEALERS IAI 585 5K –
CA MUNICIPAL BONDS CMF 128 2K –
CA MUNICIPAL BONDS PWZ 123 5K –
CHINA FLCH 62 4K –
CHINA A-SHARES ASHR 19 820 –
CHINA HEALTH CARE KURE 0 11 –
CHINA INTERNET KWEB 281 10K –
CHINA TECHNOLOGY CQQQ 12 347 –
CLOUD COMPUTING CLOU 93 5K –
CLOUD COMPUTING SKYY 54 562 –
COMMUNICATIONS SERVICES XLC 87K 1M –
CRYPTO INDUSTRY INNOVATORS BITQ 100 7K –
DEVELOPED MARKETS EFA 117 1K –
DEVELOPED MARKETS IEFA 14K 198K –
DEVELOPED MARKETS VEA 969 20K –
Dow Jones Dividend DVY 424 4K –
EAFE SMALL-CAP SCZ 14 221 –
EM ex-China XCEM 67 2K –
EMERGING INTL DEBT EMB 13 142 –
EMERGING MARKET DEBT EMLC 12 522 –
EMERGING MARKETS EEM 213 5K –
EMERGING MARKETS IEMG 239 4K –
EMERGING MARKETS VWO 3K 59K –
ENERGY VDE 21K 165K –
ENERGY XLE 3K 30K –
ETHERIUM TRUST ETHE 78 2K –
FINANCIALS VFH 4K 39K –
FINANCIALS XLF 5K 117K –
FINTECH ARKF 156 6K –
First Trust NASDAQ Cln Edge ETF GRID 58 498 –
FLOATING RATE BOND TFLO 4K 76K –
FMQQ The Next Frontr Intrnt & Ecmmrc ETF FMQQ 12 1K –
GENOMICS ARKG 16K 681K –
GERMANY EWG 39 1K –
GERMANY FLGR 20 839 –
GLOBAL EQUITY VT 339 3K –
GOLD GLD 326 2K –
GOLD MINERS GDX 2K 59K –
GOLD MINERS GDXJ 211 5K –
GOVERNMENT MONEY FUND; ULTRA SGUXX 9K 9M –
GOVERNMENT MONEY INV SNVXX 621 621K –
HEALTH CARE VHT 22K 81K –
HEALTH CARE XLV 32K 220K –
HOME CONSTRUCTION ITB 729 7K –
HONG KONG EWH 120 8K –
INDIA FLIN 44 1K –
INDIA INTERNET AND ECOMMERCE ETF INQQ 7 478 –
INDUSTRIALS XLI 3K 21K –
INFORMATION TECHNOLOGY VGT 2K 4K –
INTERNATIONAL COUNTRY ROTATION INTL 87K 4M –
INVESTMENT GRADE COPORATE BONDS IGSB 6K 111K –
INVESTMENT GRADE CORPORATE BOND SLQD 0 1 –
IPO IPO 126 3K –
iShares Bitcoin Trust ETF IBIT 11 315 –
iShares Gold Trust IAU 11 250 –
iShares Russell 2000 Growth ETF IWO 143 544 –
iShares Russell Mid-Cap IWR 16 200 –
iShares US Oil & Gas Explor & Prod ETF IEO 10 100 –
ISRAEL TECHNOLOGY IZRL 33 2K –
JAPAN FLJP 100 3K –
JAPAN SMALL-CAP SCJ 24 344 –
LARGE CAP VOO 904 2K –
Large Cap Blend IWB 62 208 –
LARGE CAP CORE SPY 149K 273K –
LARGE CAP VALUE IWD 56 323 –
LARGE-CAP GROWTH IWF 775 2K –
LONG TERM TREASURIES SPTL 3K 98K –
MAIN BUYWRITE BUYW 87K 6M –
MATERIALS XLB 20 225 –
MEDICAL DEVICES IHI 18 317 –
METAL MINERS XME 1K 19K –
MEXICO FLMX 54 2K –
MIDCAP IJH 282 5K –
MID-CAP VO 195 807 –
MID-CAP GROWTH IJK 74K 836K –
NASDAQ QQQ 69K 145K –
NASDAQ 100 QQQM 18K 92K –
NETHERLANDS EWN 34 679 –
Nuveen AMT-Free Quality Muni Inc NEA 29 3K –
Nuveen Ca Dividend Adv M NAC 12 1K –
OIL SERVICES OIH 5K 16K –
ONLINE RETAIL ONLN 114 3K –
POLAND EPOL 21 865 –
QUANTUM COMPUTING QTUM 113 2K –
REGIONAL BANKS KRE 32K 650K –
ROBOTICS & AI BOTZ 46 1K –
S&P 500 EQUAL WEIGHT RSP 28K 169K –
S&P 500 VALUE IVV 129 235 –
S&P Biotech Bull 3X ETF LABU 1 5 –
S&P SMALL-CAP IJR 23K 217K –
Schwab Treasury Oblig Money Ultra SCOXX 2K 2M –
SEMICONDUCTORS SMH 64K 244K –
SEMICONDUCTORS SOXX 2K 7K –
SHORT TERM BONDS GSY 182 4K –
SHORT TERM BONDS JPST 99 2K –
SHORT TERM BONDS NEAR 382 8K –
Short Term High Yield Corporates HYS 29 316 –
SHORT TERM TREASURY VGSH 55 956 –
SHORT-TERM CORPORATE BONDS VCSH 383 5K –
SMALL CAP BLEND VB 50 229 –
SMALL-CAP BLEND IWM 194 956 –
SMALL-CAP INDIA SMIN 23 288 –
SOFTWARE IGV 24K 272K –
SOLAR TAN 73 2K –
SOUTH KOREA EWY 20 300 –
SOUTH KOREA FLKR 43 2K –
SPDR S&P Retail ETF XRT 34 460 –
STAR MARKET 50 INDEX KSTR 3 309 –
TAIWAN EWT 36 671 –
TAIWAN FLTW 15 315 –
TECHNOLOGY XLK 48K 212K –
THEMATIC INNOVATION TMAT 49K 3M –
TREASURY OBLIG MONEY INV SNOXX 615 615K –
US BROAD MARKET SCHB 235 4K –
US DIVIDEND GROWTH VIG 152 833 –
US HIGH DIVDEND YIELD VYM 421 4K –
US SECTOR ROTATION SECT 21K 407K –
US TOTAL MARKET VTI 301 1K –
US TREASURIES BIL 2K 17K –
US TREASURIES SHY 12K 144K –
US TREASURY MONEY FUND SUTXX 55K 55M –
US TREASURY MONEY INVESTOR SWVXX 505 505K –
US TREASURY MONEY INVESTOR SNSXX 15K 15M –
UTILITIES XLU 16K 237K –
VALUE VTV 6 38 –
VIDEO GAMING & eSPORTS ESPO 135 2K –
WisdomTree Floating Rate Treasury ETF USFR 279 6K –