Mainstreet Ria Llc
- Regulatory AUM
- $446M
- Discretionary
- $446M
- Clients
- 132
- Avg AUM / client
- $3.4M
- Accounts
- 206
- Employees
- 3
AUM over time
Annual snapshots from Form ADV filings · as of Feb 12, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 104 | $30.0M | 6.72% |
| High net worth individuals | 23 | $40.6M | 9.09% |
| Pension and profit sharing plans | 5 | $376M | 84.2% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| The Crossing 401(k) Plan The Crossing Church | 2024 |
People (3)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Robert Steven Oldham | Managing Partner/Investment Advisor Represetative | Jul 2019 (7y) | 25% – 50% | |
| Richard Lee Counts | Managing Partner/Investment Advisor Representative | Aug 2020 (6y) | 25% – 50% | |
| Nicholas S Oldham | Chief Compliance Officer/Investment Advisor Representative | CFP | Feb 2021 (6y) | 25% – 50% |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
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.
Retirement plans served (1)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| The Crossing 401(k) Plan | The Crossing Church | 124 | $9.1M | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 02/12/2026 | 897 KB | 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
- • Hourly charges
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Pension consulting services
- • Educational seminars/workshops
Custody
Reported custodians
- Corebridge Financial $339M (76% of AUM) Feb 2026
- Recordkeeper Aig $238M (83% of AUM) Aug 2022
- Charles Schwab & Co. $69.4M (16% of AUM) Feb 2026
- Nationwide Securities, Llc $22.4M (7% of AUM) Oct 2023
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have 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: Feb 12, 2026.
View current Form ADV (SEC/IAPD) ↗