Main Management, Llc
- Regulatory AUM
- $1.9B
- Discretionary
- $1.6B
- Clients
- 253
- Avg AUM / client
- $7.5M
- Accounts
- 337
- Employees
- 27
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Mar 31, 2026
Investments (13F portfolio — 102 positions, $1,374,003)
13F period Mar 31, 2026| # | Issuer | Class | Value | Shares | % of 13F | % of AUM |
|---|---|---|---|---|---|---|
| 1 | Large Cap Core | SPY | $156,419 | 240,518 | 11.4% | 0.01% |
| 2 | Main Buywrite | BUYW | $148,862 | 10,572,577 | 10.8% | 0.01% |
| 3 | Technology | XLK | $128,534 | 967,146 | 9.35% | 0.01% |
| 4 | International Country Rotation | INTL | $113,162 | 3,988,792 | 8.24% | 0.01% |
| 5 | Financials | XLF | $84,120 | 1,703,866 | 6.12% | 0.0% |
| 6 | Communications Services | XLC | $78,357 | 706,812 | 5.7% | 0.0% |
| 7 | Thematic Innovation | TMAT | $67,308 | 2,902,437 | 4.9% | 0.0% |
| 8 | Health Care | XLV | $63,990 | 436,462 | 4.66% | 0.0% |
| 9 | Consumer Discretionary | XLY | $52,783 | 484,338 | 3.84% | 0.0% |
| 10 | Vanguard Industrials Etf | VIS | $52,005 | 166,564 | 3.78% | 0.0% |
| 11 | Nasdaq | QQQ | $44,730 | 77,497 | 3.26% | 0.0% |
| 12 | Nasdaq 100 | QQQM | $44,236 | 186,163 | 3.22% | 0.0% |
| 13 | S&P 500 Equal Weight | RSP | $40,358 | 210,284 | 2.94% | 0.0% |
| 14 | All World Ex Us | VEU | $25,103 | 334,264 | 1.83% | 0.0% |
| 15 | Materials | XLB | $24,104 | 482,361 | 1.75% | 0.0% |
| 16 | Us Sector Rotation | SECT | $23,980 | 397,084 | 1.75% | 0.0% |
| 17 | Energy | XLE | $21,821 | 356,200 | 1.59% | 0.0% |
| 18 | Financials | VFH | $18,980 | 157,110 | 1.38% | 0.0% |
| 19 | Aggregate Bonds | BND | $16,935 | 229,976 | 1.23% | 0.0% |
| 20 | Health Care | VHT | $16,810 | 61,727 | 1.22% | 0.0% |
| 21 | Information Technology | VGT | $16,590 | 23,778 | 1.21% | 0.0% |
| 22 | Developed Markets | IEFA | $15,769 | 174,188 | 1.15% | 0.0% |
| 23 | Home Construction | ITB | $14,975 | 165,379 | 1.09% | 0.0% |
| 24 | Us Treasury Money Fund | SUTXX | $12,982 | 12,982,212 | 0.94% | 0.0% |
| 25 | 0 3 Month Treasury | SGOV | $12,377 | 122,957 | 0.9% | 0.0% |
Top 25 of 102 positions from the manager's latest Form 13F · source filing (EDGAR) ↗. 13F covers long US-listed positions only. "% of AUM" is share of the firm's total regulatory AUM (Form ADV Item 5.F).
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 79 | $73.3M | 3.85% |
| High net worth individuals | 134 | $1.2B | 64.5% |
| Pooled investment vehicles (non-investment companies) | 4 | $241M | 12.7% |
| Pension and profit sharing plans | 2 | $7.4M | 0.39% |
| Charitable organizations | 10 | $113M | 5.91% |
| Corporations and other businesses | 24 | $242M | 12.7% |
Private funds (3)
Reported in Form ADV Section 7.B.(1), filing of Oct 2024 · $206M combined gross assets
| Fund | Type | Domicile | Gross assets | Owners |
|---|---|---|---|---|
| Lsb Investors, Lp | Private Equity Fund | Delaware | $133M | 68 |
| Core Endowment Portfolio Ii, Lp | Other Private Fund | Delaware | $59.9M | 28 |
| Main Management Digital Asset Fund Lp | Hedge Fund | Delaware | $12.5M | 39 |
People (25)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Miner, Mary | Member | Apr 2002 (24y) | 5% – 10% | |
| Fredericks, John, Richard | Member | Jul 2002 (24y) | ≈ 3.75% – 10% via Fredericks Investments, Lp | |
| James Wesley Concidine | Managing Member | Jul 2002 (24y) | 10% – 25% | |
| Kim David Arthur | Managing Member, Ceo And President | Aug 2002 (24y) | 25% – 50% | |
| Blaine Anderson Docker | Chief Operations Officer | Feb 2007 (20y) | 10% – 25% | |
| Hafeez Akber Esmail | Chief Compliance Officer | Jan 2008 (19y) | Less than 5% | |
| Alexander Varner | Registered representative | Sep 2012 (14y) | ||
| Wayne Jefferson Seaman | Registered representative | Jun 2018 (8y) | ||
| James Augusta Taylor | Registered representative | May 2019 (7y) | ||
| Robb Douglas Weiland | Registered representative | Aug 2019 (7y) | ||
| Davis Michael Deboisblanc | Registered representative | Sep 2019 (7y) | ||
| Darol Wayne Ryan | Registered representative | Oct 2019 (7y) | ||
| Marissa Van Metre | Registered representative | Jul 2022 (4y) | ||
| James Maxwell | Registered representative | Jun 2023 (3y) | ||
| Kyle Shalvarjian | Registered representative | Jun 2024 (2y) | ||
| Dede Liu | Registered representative | Jul 2024 (2y) | ||
| Nicolai Ahlmann Hansen | Registered representative | CFP | Sep 2024 (2y) | |
| Alexander Joshua Brauner Dippery | Registered representative | Dec 2024 (2y) | ||
| Joseph Philip La Barbera | Registered representative | Jan 2025 (2y) | ||
| Sydney Fay Kralj | Registered representative | Mar 2025 (1y) | ||
| Adam Zuckernick | Registered representative | Jun 2025 (1y) | ||
| Chase David Smith | Registered representative | Aug 2025 (1y) | ||
| Luca Kurzweil | Registered representative | Feb 2026 (1y) | ||
| Michael Mogavero | Registered representative | Feb 2026 (1y) | ||
| Andrew Maxwell | Registered representative | Jul 2026 (0y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Fredericks Investments, Lp | Member | Jul 2002 | A | 5% – 10% |
Undisclosed: 0% – 45% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Fredericks, John, Richard: 75% – 100% of Fredericks Investments, Lp × 5% – 10% direct ≈ 3.75% – 10% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Private funds (3, $206M gross assets)
| Fund | Type | Gross assets | Min. investment | Owners |
|---|---|---|---|---|
| Lsb Investors, Lp | Private Equity Fund | $133M | $0 | 68 |
| Core Endowment Portfolio Ii, Lp | Other Private Fund | $59.9M | $500K | 28 |
| Main Management Digital Asset Fund Lp | Hedge Fund | $12.5M | $0 | 39 |
From Form ADV Section 7.B private fund reporting.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/31/2026 | 1.61 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Fixed fees
- • Performance-based fees
Services
- • Portfolio management for individuals/small businesses
- • Portfolio management for pooled investment vehicles
- • Portfolio management for businesses/institutional clients
Custody
Reported custodians
- Charles Schwab & Co. $1.6B (85% of AUM) Mar 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 31, 2026.
View current Form ADV (SEC/IAPD) ↗