DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Mainstreet Advisors
Legal name Mainstreet Investment Advisors LLC
Latest filing Mar 27, 2026
First filing on the tape Mar 19, 2012 · 62 filings
SEC status approved since Mar 12, 2008
RAUM
$5.9B
reported, Item 5.F
Discretionary
16%
of RAUM
Private clients
0.1%
$3.1M individuals and HNW
Advisors
12
registered through the firm on IAPD
RAUM per advisor
$488M
derived; firm RAUM over IAPD count
Employees
26
6 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
62 filings and snapshots on the tape
RAUM$5.9B as of Mar 27, 2026
Mar 19, 2012$1.6B then
HNW client RAUM$3.1M as of Mar 27, 2026
Mar 26, 2020$79.3M then
State-registered IARs (5.B.3)15 as of Mar 27, 2026
Mar 19, 20120 then
Employees (5.A)26 as of Mar 27, 2026
Apr 1, 201322 then
Private funds5 as of Mar 29, 2023
Mar 26, 20205 then
RAUM +8.2% over the last fiscal year-26% a year over threeIARs 15 to 15offices 2 to 4
Practice profile
derived from the filing of Mar 27, 2026; every figure names its basis
- RAUM per advisor
- $488MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.6MderivedHNW RAUM over HNW clients
- Average account
- $1.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 16%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.2derivedItem 5.A over advisors
- Advisors per office
- 2.4derived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- +8.2%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, publicationsreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Banks and thrifts$5.9B100%
- High-net-worth individuals$3.1M0.1%
- Individual clients
- n/areported
- HNW clients
- 2reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 5,636reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
12 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Alessandro UrbaniChartered Financial Analyst | Chicago, Il | Jan 29, 2009 | 30 y | 1 |
| Charles Thomas SimkoChartered Financial Analyst | Chicago, Il | Nov 3, 2011 | 29 y | 2 |
| Michael Allen Steele | Chicago, Il | May 27, 2014 | 16 y | 0 |
| Igor MarjanovicChartered Financial Analyst | Chicago, Il | Jan 16, 2017 | 16 y | 0 |
| Thomas S MckinstryChartered Financial Analyst | Chicago, Il | Jan 20, 2017 | 19 y | 0 |
| John M Gorman | Cornelius, Nc | Jan 31, 2020 | 16 y | 2 |
| Alex Taylor O'Brien | Chicago, Il | Feb 18, 2021 | 15 y | 0 |
| Logan Clark | Chicago, Il | Apr 18, 2023 | 13 y | 1 |
| Francesco SpinnatoChartered Financial Analyst | Chicago, Il | Jul 18, 2023 | 10 y | 0 |
| Nehaben Padhiyar | Chicago, Il | Sep 25, 2023 | 10 y | 0 |
| Dwayne Miles KrpanChartered Financial Analyst | Chicago, Il | Dec 16, 2025 | 11 y | 1 |
| Joseph Jordan Crosson | De Pere, Wi | May 6, 2026 | 12 y | 2 |
Advisor movement
1 left, 2 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 8.3% of current headcount9 left over 36 months
Left, latest
- Joseph Jordan Crosson to Capital Market Advisors, LLCMay 6, 2026 · Other
- Sean Michael Whitney to Cibc Private Wealth Advisors, Inc.Aug 19, 2024 · Other
- Philip Frederick Vergunst to Fifth Third Wealth Advisors LLCMar 14, 2024 · Other
- Ryan James Haartman to Fifth Third Wealth Advisors LLCMar 14, 2024 · Other
- Michael Andrew Henke to Fifth Third Wealth Advisors LLCMar 14, 2024 · Other
- John Paul Hoeting to Fifth Third Wealth Advisors LLCMar 14, 2024 · Other
- Jonathan Adams to Fifth Third Wealth Advisors LLCMar 14, 2024 · Other
- Michael Kemer to Fifth Third Wealth Advisors LLCMar 8, 2024 · Other
- Cynthia Rose Stroik to Franklin Street Advisors Inc.Mar 8, 2024 · RIA to RIA
- Tomasz Gogola to Aaron Wealth AdvisorsJun 8, 2023 · RIA to RIA
- Luis Enrique Teran Rivero to Calamos Wealth Management LLCDec 9, 2022 · Other
- Mukti Ramesh Vasanji to Willow WealthNov 30, 2022 · Other
- Rafal Gustaw Chochol to Aj WealthMar 30, 2022 · Other
- Ellis Patrick Shanley to Plante Moran Financial AdvisorsFeb 3, 2022 · Other
- Richard Jason Milton to 103 Advisory GroupAug 4, 2021 · Other
Joined, latest
- Joseph Jordan Crosson from Capital Market Advisors, LLCMay 6, 2026 · Other
- Dwayne Miles Krpan from Btc Capital ManagementDec 16, 2025 · Other
- Jonathan Adams from Fifth Third Securities, Inc.Sep 6, 2023 · Affiliated broker-dealer or bank to independent RIA
- Logan Clark from Convergence FinancialApr 18, 2023 · RIA to RIA
- Tomasz Gogola from Equitable Advisors, LLCMar 9, 2022 · Other
- Luis Enrique Teran Rivero from Bmo Direct Invest Inc.Mar 9, 2022 · Other
- Cynthia Rose Stroik from The Retirement Corporation Of AmericaOct 4, 2021 · Other
- Mukti Ramesh Vasanji from Iconiq Capital, LLCAug 1, 2020 · Other
- Ellis Patrick Shanley from Merrill Lynch, Pierce, Fenner & Smith IncorporatedFeb 20, 2020 · Other
- John M Gorman from Td Ameritrade, Inc.Jan 31, 2020 · Other
- John Andrew Mariscalco from Gunnallen Financial, IncJan 16, 2017 · Other
- Charles Thomas Simko from Fci AdvisorsNov 3, 2011 · Other
- Ryan Patrick Layton from Wells Fargo Investments, LLCJun 9, 2011 · Other
- Alessandro Urbani from Wright Investors Service IncJan 29, 2009 · Other
- Richard Jason Milton from Waterstone Financial Group, Inc.Mar 13, 2008 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for Fifth Third Wealth Advisors LLCMar 14, 2024 · Grand Rapids, Mi
- 3 left for Fifth Third Wealth Advisors LLCMar 8, 2024 · Cincinnati, Oh
Private funds
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Stoneroad Strategic Income Plus Investment Trust Fund, A Series Of The Stoneroad Series Investment Trustno longer reported | Other Private Fund | $17.6M | 23 | Dec 19, 2013 |
| Stoneroad Core Plus Fixed Income Investment Trust Fund, A Series Of The Stoneroad Series Investment Trustno longer reported | Other Private Fund | $11.3M | 4 | Mar 29, 2016 |
| Stoneroad Strategic Income Plus Sri Investment Trust Fund, A Series Of The Stoneroad Series Investment Trustno longer reported | Other Private Fund | $4.7M | 19 | Mar 28, 2017 |
| Stoneroad Core Plus Fixed Income Sri Investment Trust Fund, A Series Of The Stoneroad Series Investment Trustno longer reported | Other Private Fund | $3.4M | 11 | Mar 30, 2015 |
Owners and control persons
Schedule A and B, latest filing
- Francis John Crosson · Chief Executive Officercontrolsince 02/2024 · owns less than 5%
- A Michael Steele · Chief Operating Officercontrolsince 07/2021 · owns less than 5%
- Alessandro Urbani · Head Of Reveniecontrolsince 11/2018 · owns less than 5%
- Colleen Tara Zientek · Head Of Peoplecontrolsince 12/2015 · owns less than 5%
- Roseann Higgins · Chief Compliance Officersince 02/2024 · owns less than 5%
Entity owners
- Up Capital, LLC · Shareholderdirect · owns 75% or more
Related persons
Schedule D 7.A
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Chicago, Il · principal | 11 | 2 | 0 | ||
| De Pere, Wi | 1 | 1 | 1 | ||
| Cincinnati, Oh | 0 | 0 | 0 | ||
| Grand Rapids, Mi | 0 | 0 | 0 | ||
| Jersey City, Nj | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 5,683 to 5,636Jan 7, 2026 to Mar 27, 2026
- HNW clients · 1 to 2Jan 7, 2026 to Mar 27, 2026
- Individual clients · 1.0 to unsetJan 7, 2026 to Mar 27, 2026
- Employees · 22 to 26Jan 7, 2026 to Mar 27, 2026
- Discretionary RAUM · $992M to $963MJan 7, 2026 to Mar 27, 2026
- HNW RAUM · $1.7M to $3.1MJan 7, 2026 to Mar 27, 2026
- Individual RAUM · 897152.0 to unsetJan 7, 2026 to Mar 27, 2026
- Non-discretionary RAUM · $4.4B to $4.9BJan 7, 2026 to Mar 27, 2026
- RAUM · $5.4B to $5.9BJan 7, 2026 to Mar 27, 2026
- Other offices · 2 to 4Oct 30, 2025 to Dec 23, 2025
- Financial planning clients · 0 to 0Jul 24, 2025 to Oct 30, 2025
- Accounts · 5,866 to 5,683Jan 6, 2025 to Apr 8, 2025
- Advisory employees · 15 to 6Jan 6, 2025 to Apr 8, 2025
- HNW clients · unset to 1.0Jan 6, 2025 to Apr 8, 2025
- Individual clients · 2 to 1Jan 6, 2025 to Apr 8, 2025
- Employees · 18 to 22Jan 6, 2025 to Apr 8, 2025
- Other offices · 0 to 2Jan 6, 2025 to Apr 8, 2025
- Discretionary RAUM · $1.2B to $992MJan 6, 2025 to Apr 8, 2025
- HNW RAUM · unset to 1716143.0Jan 6, 2025 to Apr 8, 2025
- Individual RAUM · $853,968 to $897,152Jan 6, 2025 to Apr 8, 2025
- Non-discretionary RAUM · $3.9B to $4.4BJan 6, 2025 to Apr 8, 2025
- RAUM · $5.1B to $5.4BJan 6, 2025 to Apr 8, 2025
- Related adviser · false to trueSep 26, 2024 to Oct 4, 2024
- Related broker-dealer · true to falseSep 26, 2024 to Oct 4, 2024
- Accounts · 1,379 to 5,866Oct 6, 2023 to Mar 28, 2024
- Advisory employees · 24 to 15Oct 6, 2023 to Mar 28, 2024
- Advisory activities · 4 to 3Oct 6, 2023 to Mar 28, 2024
- Charity clients · 44.0 to unsetOct 6, 2023 to Mar 28, 2024
- Corporate clients · 73.0 to unsetOct 6, 2023 to Mar 28, 2024
- HNW clients · 1.0 to unsetOct 6, 2023 to Mar 28, 2024
- Individual clients · 1,079 to 2Oct 6, 2023 to Mar 28, 2024
- Pension plan clients · 23.0 to unsetOct 6, 2023 to Mar 28, 2024
- Pooled vehicle clients · 8.0 to unsetOct 6, 2023 to Mar 28, 2024
- Assets in custody · 12837770.0 to unsetOct 6, 2023 to Mar 28, 2024
- Custody of client assets · true to falseOct 6, 2023 to Mar 28, 2024
- Employees · 29 to 18Oct 6, 2023 to Mar 28, 2024
- Financial planning clients · unset to 0Oct 6, 2023 to Mar 28, 2024
- State-registered IARs · 17 to 15Oct 6, 2023 to Mar 28, 2024
- Other offices · 2 to 0Oct 6, 2023 to Mar 28, 2024
- Private funds · 5 to unsetOct 6, 2023 to Mar 28, 2024
Signals
54 dated events
- Joseph Jordan Crosson left Mainstreet Advisors for Capital Market Advisors, Llc (registered 2025-08-06)May 6, 2026 · Advisor changed firm · fact
- Sean Michael Whitney left Mainstreet Advisors for Cibc Private Wealth Advisors, Inc. (registered 2024-09-05)Aug 19, 2024 · Advisor changed firm · fact
- Mainstreet Advisors reported RAUM $5.1B, down 54% from $11.2B (2023-10-06 to 2024-03-28)Mar 28, 2024 · RAUM change · derived
- S Thomas Mckinstry (Chief Investment Officer, Manager) no longer on Schedule A of Mainstreet Advisors (listed 2023-10-06, absent 2024-03-28)Mar 28, 2024 · Control person left · inference
- William Jonathan Reynolds (Manager) no longer on Schedule A of Mainstreet Advisors (listed 2023-10-06, absent 2024-03-28)Mar 28, 2024 · Control person left · inference
- Shawn Stephen Hedger (Manager) no longer on Schedule A of Mainstreet Advisors (listed 2023-10-06, absent 2024-03-28)Mar 28, 2024 · Control person left · inference
- Francis Michael Kennedy (Manager) no longer on Schedule A of Mainstreet Advisors (listed 2023-10-06, absent 2024-03-28)Mar 28, 2024 · Control person left · inference
- Rose Cynthia Stroik (Chief Compliance Officer) no longer on Schedule A of Mainstreet Advisors (listed 2023-10-06, absent 2024-03-28)Mar 28, 2024 · Control person left · inference
- Michelle Lori Frischer (Manager) no longer on Schedule A of Mainstreet Advisors (listed 2023-10-06, absent 2024-03-28)Mar 28, 2024 · Control person left · inference
- Francis John Crosson (Chief Executive Officer) appeared on Schedule A of Mainstreet AdvisorsMar 28, 2024 · Control person joined · fact
- John Paul Hoeting left Mainstreet Advisors for Fifth Third Wealth Advisors Llc (registered 2024-01-12)Mar 14, 2024 · Advisor changed firm · fact
- Michael Andrew Henke left Mainstreet Advisors for Fifth Third Wealth Advisors Llc (registered 2024-01-16)Mar 14, 2024 · Advisor changed firm · fact
- Ryan James Haartman left Mainstreet Advisors for Fifth Third Wealth Advisors Llc (registered 2024-01-16)Mar 14, 2024 · Advisor changed firm · fact
- Philip Frederick Vergunst left Mainstreet Advisors for Fifth Third Wealth Advisors Llc (registered 2024-01-16)Mar 14, 2024 · Advisor changed firm · fact
- Jonathan Adams left Mainstreet Advisors for Fifth Third Wealth Advisors Llc (registered 2024-01-16)Mar 14, 2024 · Advisor changed firm · fact
- 3 advisors left Mainstreet Advisors (Grand Rapids, MI) for Fifth Third Wealth Advisors LLC on the same dayMar 14, 2024 · Team lift-out · derived
- Cynthia Rose Stroik left Mainstreet Advisors for Franklin Street Advisors Inc. (registered 2024-01-10)Mar 8, 2024 · Advisor changed firm · fact
- Michael Kemer left Mainstreet Advisors for Fifth Third Wealth Advisors Llc (registered 2024-01-18)Mar 8, 2024 · Advisor changed firm · fact
- 3 advisors left Mainstreet Advisors (Cincinnati, OH) for Fifth Third Wealth Advisors LLC within 6 daysMar 8, 2024 · Team lift-out · derived
- Tomasz Gogola left Mainstreet Advisors for Aaron Wealth Advisors (registered 2023-06-19)Jun 8, 2023 · Advisor changed firm · fact
- Michelle Lori Frischer (Manager) appeared on Schedule A of Mainstreet AdvisorsApr 3, 2023 · Control person joined · fact
- Joseph Bruce Simpson (Chief Client Officer, Manager) no longer on Schedule A of Mainstreet Advisors (listed 2023-03-29, absent 2023-04-03)Apr 3, 2023 · Control person left · inference
- Reed Kristine Garrett (Manager) no longer on Schedule A of Mainstreet Advisors (listed 2023-03-29, absent 2023-04-03)Apr 3, 2023 · Control person left · inference
- Mainstreet Advisors reported RAUM $14.4B, up 45% from $9.9B (2022-10-03 to 2023-03-29)Mar 29, 2023 · RAUM change · derived
- R Timothy Hannahs (Chief Operating Officer, Manager) no longer on Schedule A of Mainstreet Advisors (listed 2022-10-03, absent 2023-03-29)Mar 29, 2023 · Control person left · inference
- Luis Enrique Teran Rivero left Mainstreet Advisors for Calamos Wealth Management Llc (registered 2023-01-05)Dec 9, 2022 · Advisor changed firm · fact
- Mukti Ramesh Vasanji left Mainstreet Advisors for Willow Wealth (registered 2023-01-19)Nov 30, 2022 · Advisor changed firm · fact
- Rafal Gustaw Chochol left Mainstreet Advisors for Aj Wealth (registered 2022-04-12)Mar 30, 2022 · Advisor changed firm · fact
- Mainstreet Advisors reported RAUM $9.9B, up 28% from $7.8B (2021-12-20 to 2022-03-30)Mar 30, 2022 · RAUM change · derived
- Ellis Patrick Shanley left Mainstreet Advisors for Plante Moran Financial Advisors (registered 2021-11-10)Feb 3, 2022 · Advisor changed firm · fact
Across DFX
shared identifiers only, never a name match
- Mainstreet Advisors · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/mainstreet-advisors-llc/aboutreportedpublic record, Form ADV, Sep 17, 2026
- Website
- MAINSTREETADV.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 312-223-0270reportedpublic record, Form ADV, Mar 27, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Other adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $488Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026
Across the graphs
Mainstreet Advisors is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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