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.
Former SEC-registered adviser
Main Street Advisors
Legal name Main Street Advisors, Inc.
Latest filing Mar 28, 2019
First filing on the tape Mar 29, 2012 · 10 filings
RAUM
$4.8B
reported, Item 5.F
Discretionary
60%
of RAUM
Private clients
67%
$3.2B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
14
12 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
64
$2.4B gross assets
History
10 filings and snapshots on the tape
RAUM$4.8B as of Mar 28, 2019
Mar 29, 2012$1.3B then
HNW client RAUM$3.2B as of Mar 28, 2019
Mar 30, 2018$2.9B then
State-registered IARs (5.B.3)2 as of Mar 28, 2019
Mar 29, 20120 then
Employees (5.A)14 as of Mar 28, 2019
Mar 28, 20137 then
Private funds64 as of Mar 28, 2019
Mar 29, 201228 then
RAUM +11% over the last fiscal year+20% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 28, 2019; every figure names its basis
- RAUM per advisor
- $2.4BderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 18derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $89.3MderivedHNW RAUM over HNW clients
- Average account
- $42.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 60%derivedof RAUM
- Institutional
- 5.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 7.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -31%derived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
- Custody
- $2.9B, 76 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$3.2B67%
- Pooled investment vehicles$1.3B27%
- State and municipal entities$252M5.3%
- Individual clients
- 0reported
- HNW clients
- 36reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 112reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $2.9B for 76 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
19 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Msa Iron Investors LPno longer reported | Other Private Fund | $96.1M | 1 | Mar 29, 2012 |
| Msa Yawkee Way LPno longer reported | Other Private Fund | $87.5M | 1 | Mar 29, 2012 |
| Msa Brisco LPno longer reported | Other Private Fund | $83.7M | 1 | Mar 29, 2012 |
| Msa Corniches LLC | Real Estate Fund | $31.9M | 11 | Mar 29, 2012 |
| Msa Mondata Partners LPno longer reported | Other Private Fund | $29.5M | 1 | Mar 29, 2012 |
| Msa Ta Investors LLCno longer reported | Private Equity Fund | $25.8M | 8 | Mar 29, 2012 |
| Msa Real Estate III LLC | Real Estate Fund | $13.7M | 14 | Mar 29, 2012 |
| Msa Corniches Investors 2016, LP | Private Equity Fund | $11.2M | 12 | Mar 30, 2017 |
| Msa Trident Investors LLCno longer reported | Private Equity Fund | $9.8M | 9 | Mar 29, 2012 |
| Msa Easton-Ads Investors LPno longer reported | Private Equity Fund | $9.3M | 8 | Mar 27, 2015 |
| Msa Easton - Abt Investors LPno longer reported | Private Equity Fund | $5.0M | 4 | Mar 29, 2016 |
| Pinpoint Investorsno longer reported | Venture Capital Fund | $1.7M | 6 | Mar 29, 2012 |
| Msa Composite Investors LLCno longer reported | Hedge Fund | $1.1M | 1 | Mar 27, 2015 |
| Msa Admark Investors LLC | Real Estate Fund | $867,000 | 3 | Mar 29, 2012 |
| Msa Baja Partners LLCno longer reported | Real Estate Fund | $804,000 | 11 | Mar 29, 2012 |
| Chicago Msa Investors LLCno longer reported | Real Estate Fund | $346,000 | 7 | Mar 29, 2012 |
| Venice Venture Investorsno longer reported | Venture Capital Fund | $72,000 | 4 | Mar 29, 2012 |
| Msa Composite Investors LLCno longer reported | Liquidity Fund | $20,000 | 10 | Mar 29, 2012 |
| Screen Investors 2004 LLCno longer reported | Private Equity Fund | $7,000 | 5 | Mar 29, 2012 |
Owners and control persons
Schedule A and B, latest filing
- David Alexandre Cohen · Managing Directorcontrolsince 10/2018 · owns 5% to 10%
- J Todd Rosen · Chief Compliance Officercontrolsince 10/2018 · owns less than 5%
- David Paul Wachter · Presidentcontrolsince 02/1997 · owns 75% or more
Related persons
Schedule D 7.A
- 1868 Univeritas Gp LLCpooled vehicle sponsory
- Enterprises Manager, LLCpooled vehicle sponsory
- Msa Enterprises Gp LLCpooled vehicle sponsory
- Msa Manager II, LLCpooled vehicle sponsory
- Msa Manager III, LLCpooled vehicle sponsory
- Msa Manager IV LLCpooled vehicle sponsory
- Msa Manager, LLCpooled vehicle sponsory
- Msa Securities, LLCbroker-dealery
- Mulholland Manager I LLCpooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 96 to 112Mar 30, 2018 to Mar 28, 2019
- Advisory employees · 6 to 12Mar 30, 2018 to Mar 28, 2019
- BD registered reps · 3 to 4Mar 30, 2018 to Mar 28, 2019
- HNW clients · 52 to 36Mar 30, 2018 to Mar 28, 2019
- Pooled vehicle clients · 55 to 58Mar 30, 2018 to Mar 28, 2019
- Assets in custody · $2.4B to $2.9BMar 30, 2018 to Mar 28, 2019
- Employees · 9 to 14Mar 30, 2018 to Mar 28, 2019
- Organization form · Corporation to Limited Liability CompanyMar 30, 2018 to Mar 28, 2019
- Private funds · 43 to 64Mar 30, 2018 to Mar 28, 2019
- Discretionary RAUM · $2.4B to $2.9BMar 30, 2018 to Mar 28, 2019
- HNW RAUM · $2.9B to $3.2BMar 30, 2018 to Mar 28, 2019
- Non-discretionary RAUM · $1.9B to $1.9BMar 30, 2018 to Mar 28, 2019
- Pooled vehicle RAUM · $1.4B to $1.3BMar 30, 2018 to Mar 28, 2019
- RAUM · $4.3B to $4.8BMar 30, 2018 to Mar 28, 2019
- Succession · false to trueMar 30, 2018 to Mar 28, 2019
- Accounts · 80 to 96Mar 30, 2017 to Mar 30, 2018
- Charity clients · unset to 0.0Mar 30, 2017 to Mar 30, 2018
- Corporate clients · unset to 0.0Mar 30, 2017 to Mar 30, 2018
- HNW clients · unset to 52.0Mar 30, 2017 to Mar 30, 2018
- Individual clients · unset to 0.0Mar 30, 2017 to Mar 30, 2018
- Pension plan clients · unset to 0.0Mar 30, 2017 to Mar 30, 2018
- Pooled vehicle clients · unset to 55.0Mar 30, 2017 to Mar 30, 2018
- Assets in custody · $1.5B to $2.4BMar 30, 2017 to Mar 30, 2018
- Other offices · unset to 0.0Mar 30, 2017 to Mar 30, 2018
- Private funds · 40 to 43Mar 30, 2017 to Mar 30, 2018
- Discretionary RAUM · $1.5B to $2.4BMar 30, 2017 to Mar 30, 2018
- HNW RAUM · unset to 2927860140.0Mar 30, 2017 to Mar 30, 2018
- Individual RAUM · unset to 0.0Mar 30, 2017 to Mar 30, 2018
- Non-discretionary RAUM · $1.3B to $1.9BMar 30, 2017 to Mar 30, 2018
- Pension RAUM · unset to 0.0Mar 30, 2017 to Mar 30, 2018
- Pooled vehicle RAUM · unset to 1394911615.0Mar 30, 2017 to Mar 30, 2018
- RAUM · $2.8B to $4.3BMar 30, 2017 to Mar 30, 2018
- Accounts · 79 to 80Mar 29, 2016 to Mar 30, 2017
- Assets in custody · $1.2B to $1.5BMar 29, 2016 to Mar 30, 2017
- Employees · 6 to 9Mar 29, 2016 to Mar 30, 2017
- Private funds · 34 to 40Mar 29, 2016 to Mar 30, 2017
- Discretionary RAUM · $1.3B to $1.5BMar 29, 2016 to Mar 30, 2017
- Non-discretionary RAUM · $1.5B to $1.3BMar 29, 2016 to Mar 30, 2017
- RAUM · $2.7B to $2.8BMar 29, 2016 to Mar 30, 2017
- Accounts · 71 to 79Mar 27, 2015 to Mar 29, 2016
Signals
5 dated events
- Main Street Advisors reported succeeding to the business of Another Adviser (Form ADV Item 4)Mar 28, 2019 · Succession (Item 4) · fact
- J Todd Rosen (Chief Compliance Officer) appeared on Schedule A of Main Street AdvisorsMar 28, 2019 · Control person joined · fact
- David Alexandre Cohen (Managing Director) appeared on Schedule A of Main Street AdvisorsMar 28, 2019 · Control person joined · fact
- Mark Christopher Fillo (Executive Vice President, Chief Compliance Officer) no longer on Schedule A of Main Street Advisors (listed 2018-03-30, absent 2019-03-28)Mar 28, 2019 · Control person left · inference
- Main Street Advisors reported RAUM $4.3B, up 55% from $2.8B (2017-03-30 to 2018-03-30)Mar 30, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- Main Street Advisors · Private Equityshared crd · organization
- Main Street Advisors · Venture Capitalshared crd · organization
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
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026
Across the graphs
Main Street 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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