DFX Intelligence
Data Factory
Reading the graph
Reading the graph
CRD 120361
SAN FRANCISCO, CA
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| HAFEEZ AKBER ESMAIL | n/a | SAN FRANCISCO, CA | 18 | 21 | 2 | no |
| ALEXANDER VARNER | n/a | SAN FRANCISCO, CA | 13 | 14 | n/a | no |
| BLAINE Anderson DOCKER | n/a | SAN FRANCISCO, CA | 9 | 21 | n/a | no |
| WAYNE JEFFERSON SEAMAN | n/a | Rutherford, NJ | SAN FRANCISCO, CA | 8 | 15 | 2 | no |
| JAMES AUGUSTA TAYLOR | n/a | Edgewood, KY | 7 | 15 | 2 | no |
| ROBB DOUGLAS WEILAND | n/a | Austin, TX | 7 | 28 | 2 | no |
| DAVIS MICHAEL DEBOISBLANC | n/a | SAN FRANCISCO, CA | 7 | 10 | n/a | no |
| DAROL WAYNE RYAN | n/a | SAN FRANCISCO, CA | 6 | 16 | 1 | no |
| Marissa Van Metre | n/a | SAN FRANCISCO, CA | 4 | 10 | n/a | no |
| James Maxwell | n/a | SAN FRANCISCO, CA | 3 | 12 | n/a | no |
| Kyle Shalvarjian | n/a | SAN FRANCISCO, CA | 2 | 10 | n/a | no |
| Dede Liu | n/a | SAN FRANCISCO, CA | 2 | 14 | n/a | no |
| NICOLAI AHLMANN HANSEN | Certified Financial Planner | LOS ANGELES, CA | 2 | 12 | 2 | no |
| Alexander Joshua Brauner Dippery | n/a | SAN FRANCISCO, CA | 1 | 10 | n/a | no |
| Joseph Philip LaBarbera | n/a | SAN FRANCISCO, CA | 1 | 10 | n/a | no |
| Sydney Fay Kralj | n/a | SAN FRANCISCO, CA | 1 | 10 | n/a | no |
| Adam Zuckernick | n/a | SAN FRANCISCO, CA | 1 | 12 | n/a | no |
| CHASE David SMITH | n/a | Rockford, MI | 1 | 17 | 1 | no |
| JAMES WESLEY CONCIDINE | n/a | SAN FRANCISCO, CA | 0 | 35 | n/a | no |
| KIM DAVID ARTHUR | n/a | SAN FRANCISCO, CA | 0 | 38 | n/a | no |
| Michael Mogavero | n/a | Tamarac, FL | 0 | 15 | 4 | no |
| Luca Kurzweil | n/a | SAN FRANCISCO, CA | 0 | 12 | n/a | no |
| Andrew Maxwell | n/a | SAN FRANCISCO, CA | 0 | 11 | n/a | no |
| Wolfgang Weiss | n/a | SAN FRANCISCO, CA | 0 | 10 | n/a | no |
| Logan Allan | n/a | SAN FRANCISCO, CA | 0 | 10 | n/a | no |
| Fund | Type | Reported GAV | As of | Owners | First reported | Status | Form D file |
|---|---|---|---|---|---|---|---|
| LSB INVESTORS, LP | Private Equity Fund | $133M | Aug 12, 2026 | 68 | Mar 31, 2022 | reported | 021-408863 |
| CORE ENDOWMENT PORTFOLIO II, LP | Other Private Fund | $59.5M | Aug 12, 2026 | 28 | Jun 18, 2013 | reported | 021-100245 |
| MAIN MANAGEMENT DIGITAL ASSET FUND LP | Hedge Fund | $21.5M | Aug 12, 2026 | 39 | Mar 31, 2023 | reported | 021-434223 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| ARTHUR, KIM, DAVID | MANAGING MEMBER, CEO AND PRESIDENT | C | yes | 08/2002 | Aug 12, 2026 | Aug 12, 2026 |
| CONCIDINE, JAMES, WESLEY | MANAGING MEMBER | B | yes | 07/2002 | Aug 12, 2026 | Aug 12, 2026 |
| DOCKER, BLAINE, Anderson | MANAGING MEMBER | B | yes | 02/2007 | Aug 12, 2026 | Aug 12, 2026 |
| ESMAIL, HAFEEZ, AKBER | CHIEF COMPLIANCE OFFICER | Na | yes | 03/2013 | Aug 12, 2026 | Aug 12, 2026 |
| LaBarbera, Joseph, Philip | CHIEF OPERATIONS OFFICER | Na | yes | 12/2024 | Aug 12, 2026 | Aug 12, 2026 |
| RYAN, DAROL, WAYNE | MANAGING MEMBER | A | yes | 09/2020 | Aug 12, 2026 | Aug 12, 2026 |
| FREDERICKS, JOHN, RICHARD | Member | E | yes | 07/2002 | Mar 15, 2012 | Oct 1, 2024 |
| FREDERICKS INVESTMENTS, LP | Member | A | no | 07/2002 | Aug 12, 2026 | Aug 12, 2026 |
| MINER, MARY | Member | Na | no | 04/2002 | Aug 12, 2026 | Aug 12, 2026 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| MAIN MANAGEMENT ETF ADVISORS, LLC | n/a | Asset manager | $2.8B | Y | yes | n/a |
| MAIN MANAGEMENT FUND ADVISORS, LLC | n/a | Asset manager | $1.0B | Y | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| n/a | n/a | n/a | 1 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Mar 31, 2026 | $1.9B | $1.6B | 27 | 25 | 6 | 3 | n/a |
| 2024 | Mar 28, 2025 | $1.6B | $1.4B | 22 | 20 | 4 | 3 | n/a |
| 2023 | Mar 28, 2024 | $1.4B | $1.2B | 19 | 16 | 3 | 3 | $206M |
| 2022 | Mar 31, 2023 | $1.2B | $1.1B | 18 | 16 | 3 | 3 | $192M |
| 2021 | Mar 31, 2022 | $1.2B | $1.1B | 18 | 17 | 5 | 2 | $180M |
| 2020 | Mar 29, 2021 | $881M | $802M | 15 | 14 | 4 | 1 | $57.6M |
| 2019 | Mar 27, 2020 | $864M | $753M | 15 | 14 | 4 | 1 | $82.2M |
| 2018 | Mar 29, 2019 | $715M | $611M | 12 | 10 | 1 | 1 | $76.2M |
| 2017 | Mar 29, 2018 | $774M | $635M | 10 | 7 | 0 | 1 | $89.9M |
| 2016 | Mar 9, 2017 | $822M | $564M | 8 | 5 | n/a | 1 | $96.7M |
| 2015 | Mar 28, 2016 | $725M | $535M | 7 | 5 | n/a | 1 | $99.2M |
| 2014 | Mar 27, 2015 | $663M | $501M | 5 | 5 | n/a | 1 | $20.9M |
| 2013 | Mar 26, 2014 | $520M | $430M | 5 | 5 | n/a | 1 | $20.9M |
| 2012 | Mar 27, 2013 | $426M | $374M | 5 | 5 | n/a | n/a | n/a |
| 2011 | Mar 19, 2012 | $374M | $251M | n/a | n/a | n/a | n/a | n/a |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 1 | 0 | 1 | 0.0% | 0 | 0 | 0 | 3 | 1 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $1.9B | $1.6B | 15.5% | $1.2B | 17.4% | 27 | 22 | 6 | 4 |