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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
M••••••••• C•••••• M•••••••••
Legal name M••••••••• C•••••• M••••••••• L••
Latest filing Mar 18, 2026
First filing on the tape Jul 4, 2018 · 29 filings
SEC status approved since Oct 8, 2021
RAUM
$224M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$218M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$112M
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$224M as of Mar 18, 2026
Apr 1, 2020$60.0M then
HNW client RAUM$189M as of Mar 18, 2026
Apr 1, 2020$36.7M then
State-registered IARs (5.B.3)2 as of Mar 18, 2026
Apr 1, 20202 then
Employees (5.A)4 as of Mar 18, 2026
Apr 1, 20202 then
Private funds: no history
RAUM +6.7% over the last fiscal year+6.4% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 18, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $112MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 85derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.2MderivedHNW RAUM over HNW clients
- Average account
- $1.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +6.7%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -9.1%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$189M84%
- Individuals$29.1M13%
- Corporations and businesses$5.0M2.2%
- Pension and profit-sharing plans$661,4080.3%
- Individual clients
- 110reported
- HNW clients
- 60reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 175reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••• K•••••••• | El Segundo, Ca | Mar 18, 2019 | 16 y | 4 |
| K••••••• L•• | Los Angeles, Ca | Mar 10, 2022 | 34 y | 3 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- M••• M••••• to J••• M••••• S••••••••• L••Jun 22, 2023 · RIA to wirehouse
Joined, latest
- K••••••• L•• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Mar 10, 2022 · Affiliated broker-dealer or bank to independent RIA
- M••• M••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Mar 4, 2022 · Affiliated broker-dealer or bank to independent RIA
- D•••• K•••••••• from T•••••• A•••••••• I•••Mar 18, 2019 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Jul 9, 2021 · Los Angeles, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K••••••••• D•••• · Principal/Chief Compliance Officer/Managing Partnercontrolsince 12/2022 · owns 50% to 75%
- L••• K••••••• · Partnercontrolsince 12/2022 · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 190 to 175Feb 11, 2025 to Mar 18, 2026
- BD registered reps · 0 to 1Feb 11, 2025 to Mar 18, 2026
- Corporate clients · 1.0 to unsetFeb 11, 2025 to Mar 18, 2026
- HNW clients · 58 to 60Feb 11, 2025 to Mar 18, 2026
- Individual clients · 129 to 110Feb 11, 2025 to Mar 18, 2026
- Pension plan clients · 2.0 to unsetFeb 11, 2025 to Mar 18, 2026
- Financial planning clients · 1-10 to 101-250Feb 11, 2025 to Mar 18, 2026
- Discretionary RAUM · $210M to $224MFeb 11, 2025 to Mar 18, 2026
- HNW RAUM · $174M to $189MFeb 11, 2025 to Mar 18, 2026
- Individual RAUM · $30.5M to $29.1MFeb 11, 2025 to Mar 18, 2026
- Pension RAUM · $685,504 to $661,408Feb 11, 2025 to Mar 18, 2026
- RAUM · $210M to $224MFeb 11, 2025 to Mar 18, 2026
- Accounts · 228 to 190Apr 1, 2024 to Feb 11, 2025
- Corporate clients · 5 to 1Apr 1, 2024 to Feb 11, 2025
- HNW clients · 53 to 58Apr 1, 2024 to Feb 11, 2025
- Individual clients · 169 to 129Apr 1, 2024 to Feb 11, 2025
- Pension plan clients · unset to 2.0Apr 1, 2024 to Feb 11, 2025
- Financial planning clients · 0 to 1-10Apr 1, 2024 to Feb 11, 2025
- Discretionary RAUM · $192M to $210MApr 1, 2024 to Feb 11, 2025
- HNW RAUM · $140M to $174MApr 1, 2024 to Feb 11, 2025
- Individual RAUM · $45.5M to $30.5MApr 1, 2024 to Feb 11, 2025
- Pension RAUM · unset to 685504.0Apr 1, 2024 to Feb 11, 2025
- RAUM · $192M to $210MApr 1, 2024 to Feb 11, 2025
- Accounts · 176 to 228Apr 3, 2023 to Apr 1, 2024
- Advisory employees · 3 to 2Apr 3, 2023 to Apr 1, 2024
- HNW clients · 98 to 53Apr 3, 2023 to Apr 1, 2024
- Individual clients · 73 to 169Apr 3, 2023 to Apr 1, 2024
- Employees · 5 to 4Apr 3, 2023 to Apr 1, 2024
- State-registered IARs · 3 to 2Apr 3, 2023 to Apr 1, 2024
- Discretionary RAUM · $186M to $192MApr 3, 2023 to Apr 1, 2024
- HNW RAUM · $152M to $140MApr 3, 2023 to Apr 1, 2024
- Individual RAUM · $9.9M to $45.5MApr 3, 2023 to Apr 1, 2024
- RAUM · $186M to $192MApr 3, 2023 to Apr 1, 2024
- Accounts · 589 to 176May 24, 2022 to Apr 3, 2023
- Corporate clients · unset to 5.0May 24, 2022 to Apr 3, 2023
- HNW clients · 48 to 98May 24, 2022 to Apr 3, 2023
- Individual clients · 132 to 73May 24, 2022 to Apr 3, 2023
- Discretionary RAUM · $229M to $186MMay 24, 2022 to Apr 3, 2023
- HNW RAUM · $188M to $152MMay 24, 2022 to Apr 3, 2023
- Individual RAUM · $25.8M to $9.9MMay 24, 2022 to Apr 3, 2023
Signals
3 dated events
- M••• M••••• left M••••••••• C•••••• M••••••••• for J••• M••••• S••••••••• L•• (registered 2023-05-04)Jun 22, 2023 · Advisor changed firm · fact
- K••••••• L•• (Partner) appeared on Schedule A of M••••••••• C•••••• M•••••••••Mar 25, 2022 · Control person joined · fact
- B•••••• A••••••• filed its initial SEC registration (Form ADV)Sep 7, 2021 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business email
- info@mainstreamcapital.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 213-365-6773reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- mainstreamcapital.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 213-365-6773reportedpublic record, Form ADV, Mar 18, 2026
- Contact form
- mainstreamcapital.com/contactreportedpublished by the firm, firm site, Sep 16, 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $112Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026