AdvisorCensus / Financial advisors / New York / Rochester / First Main Capital
First Main Capital
Filed as FIRST MAIN CAPITAL · Legal name First Main Capital LLC
First Main Capital is a state-registered investment advisory firm in Rochester, NY, registered since 2022, reporting under $25 million in regulatory assets under management in its Form ADV filing dated March 31, 2026.
Quick answers
From the filingHow is First Main Capital compensated?
On its Form ADV (Item 5.E, October 2026), First Main Capital reports these compensation arrangements: a percentage of assets under its management.
Where is First Main Capital located?
First Main Capital's principal office is in Rochester, NY, according to its Form ADV.
Is First Main Capital registered with the SEC or a state?
First Main Capital is a state-registered investment advisory firm, registered since 2022. Status as filed: APPROVED. CRD 319246.
How much does First Main Capital manage?
First Main Capital reports $1,430,213 in regulatory assets under management in its Form ADV filing dated March 31, 2026 (100% discretionary).
What types of clients does First Main Capital serve?
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (4).
Does First Main Capital report any disciplinary disclosures?
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/319246
From the Form ADV filing
Every figure below is as the firm filed it with regulators, as of October 2026.
How the firm is compensated
Item 5.E- A percentage of assets under your management
Item 5.E lists how the firm is compensated for its advice; Items 5.B, 6.A, and 7.A show whether its people or related companies can also earn commissions. Percentage of assets, fixed, hourly, subscription, and performance-based fees come from clients (a performance-based fee depends on investment results); commissions come with a sale or a trade, often from the company behind the product. How fees, commissions, and other arrangements differ
Regulatory assets under management
Item 5.F$1,430,213 as of October 2026, filing dated March 31, 2026.
A measure of scale, not skill or returns. Discretionary means the firm decides trades; non-discretionary means clients approve each one. What assets under management means
Who the firm serves
Item 5.DA firm with no individual clients is an institutional manager even if it manages billions; the mix tells you whom the practice is built around.
Advisory services
Item 5.G- Financial planning services
- Portfolio management for individuals and/or small businesses
Registration and firm details
Items 1, 2, 5- Legal name
- First Main Capital LLC
- Registration
- State-registered investment adviser. Status as filed: APPROVED.
- Registered since
- 2022 (4 years)
- Employees
- Total: 1. Performing investment advisory functions: 1.
- Wrap fee program participation
- No.
- States registered or notice-filed
-
1 state or jurisdiction
State-registered investment advisers are examined by their state securities regulator. SEC, state, and exempt registration
Disclosures
Item 11None Reports no disclosure items on Form ADV Item 11. View on IAPD.
Item 11 asks about criminal, regulatory, and civil events involving the firm and its advisory personnel. The detail of each yes answer is on the IAPD record. Reading a firm's disclosures
Changes in the filing
Last 12 monthsNo changes to these filed facts in the last 12 months of filing data.
Compared month to month from the SEC's monthly adviser data and the state compilation feed. Owners and control persons are summarized, never named.
Websites listed on Form ADV
Item 1.INot reported.
Source: Form ADV, as of October 2026. Values appear as filed; a value the firm did not report is shown as "Not reported."
Cite this page
AdvisorCensus. First Main Capital (CRD 319246): Form ADV filing data as of October 2026. https://advisorcensus.com/firm/first-main-capital-rochester-ny-319246