DFX Intelligence

Data Factory

RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

JAMES F. MAINO, REGISTERED INVESTMENT COUNSELLOR, INC.

MAINO JAMES FREDERICK, CRD 104980

AVILA BEACH, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:1aa06b1c-024b-86d2-8161-1395abd05d10

Data as of Mar 25, 2016 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:15 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Dec 15, 2011 to Mar 25, 2016
12 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $102MItem 5.F on the latest filing (2016-03-25); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $102M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 3
Advisory employees: 1
Accounts: 189
SEC number: 801-9166
CRD: 104980
Filings on the tape: 12
First filed: Dec 15, 2011
Latest filed: Mar 25, 2016
Organised: Corporation, California

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
KILBURN-MAINO, LISA, ERIN	CHIEF COMPLIANCE OFFICER / VP	D	yes	09/1995	Dec 15, 2011	Mar 25, 2016
MAINO, JAMES, FREDERICK	President	D	yes	04/1973	Dec 15, 2011	Mar 25, 2016

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2015	Mar 25, 2016	$102M	$102M	3	1	n/a	n/a	n/a
2014	Feb 3, 2015	$110M	$110M	3	1	n/a	n/a	n/a
2013	Mar 1, 2014	$104M	$103M	3	1	n/a	n/a	n/a
2012	Feb 22, 2013	$94.6M	$94.4M	3	1	n/a	n/a	n/a
2011	Jan 26, 2012	$93.4M	$93.3M	n/a	n/a	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2015	$102M	$110M	-6.6%	$94.6M	2.7%	3	3	n/a	n/a

Relationships

Controls (2)

← MAINO, JAMES, FREDERICKOwnerPRESIDENT, ownership code D, individual
Dec 15, 2011 to presentfactForm ADV
← KILBURN-MAINO, LISA, ERINOwnerCHIEF COMPLIANCE OFFICER / VP, ownership code D, individual
Dec 15, 2011 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:1aa06b1c-024b-86d2-8161-1395abd05d10
First observed: Dec 15, 2011
Last observed: Mar 25, 2016 127 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

JAMES F. MAINO, REGISTERED INVESTMENT COUNSELLOR, INC.

MAINO JAMES FREDERICK, CRD 104980

AVILA BEACH, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:1aa06b1c-024b-86d2-8161-1395abd05d10

Data as of Mar 25, 2016 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:15 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

KILBURN-MAINO, LISA, ERIN

CHIEF COMPLIANCE OFFICER / VP

yes

09/1995

Dec 15, 2011

Mar 25, 2016

MAINO, JAMES, FREDERICK

President

yes

04/1973

Dec 15, 2011

Mar 25, 2016

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2015

Mar 25, 2016

$102M

n/a

2014

Feb 3, 2015

$110M

n/a

2013

Mar 1, 2014

$104M

$103M

n/a

2012

Feb 22, 2013

$94.6M

$94.4M

n/a

2011

Jan 26, 2012

$93.4M

$93.3M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2015

$102M

$110M

-6.6%

$94.6M

2.7%

n/a