{ "crd_number": 130960, "slug": "main-line-capital-management-llc-east-aurora-ny-130960", "primary_business_name": "MAIN LINE CAPITAL MANAGEMENT LLC", "legal_name": "MAIN LINE CAPITAL MANAGEMENT", "dbas": [], "city": "East Aurora", "state": "NY", "country": "United States", "cbsa_code": "15380", "metro": { "cbsa_code": "15380", "common_name": "Buffalo", "msa_name": "Buffalo-Cheektowaga, NY", "path": "/advisors/ny/buffalo" }, "registration_type": "state", "registration_status": "APPROVED", "registration_date": "2008-04-09", "years_registered": 18, "period": "2026-10-01", "filing_date": "2026-02-19", "carried_forward": false, "raum_total": 18000000.0, "raum_discretionary": 18000000.0, "raum_non_discretionary": 0.0, "raum_band": "under_25m", "raum_band_label": "Under $25 million", "total_employees": 1, "advisory_employees": 1, "client_count_bucket": null, "clients_by_type": { "high_net_worth_individuals": { "raum": 18000000.0, "count": 52 } }, "compensation_types": [ "percentage_of_aum" ], "advisory_activities": [ "portfolio_management_individuals" ], "wrap_fee_participant": false, "disclosure_yes_count": 4, "states_registered": [ "NY" ], "websites": [ "https://mainlinecap.com" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/130960", "disclosure_items": [ { "item": "11.D(3)", "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was a cause of an investment-related business having its authorization to do business denied, suspended, revoked, or restricted?" }, { "item": "11.D(4)", "question": "In the past ten years, has another federal regulator, a state regulator, or a foreign financial regulator entered an order against the firm or an advisory affiliate in connection with investment-related activity?" }, { "item": "11.D(5)", "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever denied, suspended, or revoked the registration or license of the firm or an advisory affiliate, prevented either by order from associating with an investment-related business, or restricted either one's activity?" }, { "item": "11.E(4)", "question": "Has a self-regulatory organization or a commodities exchange ever disciplined the firm or an advisory affiliate by expelling or suspending it from membership, barring or suspending it from association with other members, or otherwise restricting its activities?" } ], "city_as_filed": "EAST AURORA", "url": "https://advisorcensus.com/firm/main-line-capital-management-llc-east-aurora-ny-130960", "display_name": "Main Line Capital Management LLC", "summary": "Main Line Capital Management LLC is a state-registered investment advisory firm in East Aurora, NY, registered since 2008, reporting under $25 million in regulatory assets under management in its Form ADV filing dated February 19, 2026.", "citation": "AdvisorCensus. Main Line Capital Management LLC (CRD 130960): Form ADV filing data as of October 2026.", "registration_type_label": "State-registered investment adviser", "compensation_labels": [ "A percentage of assets under your management" ], "advisory_activity_labels": [ "Portfolio management for individuals and/or small businesses" ], "quick_answers": [ { "q": "How is Main Line Capital Management LLC compensated?", "a": "On its Form ADV (Item 5.E, October 2026), Main Line Capital Management LLC reports these compensation arrangements: a percentage of assets under its management. The amounts are in Item 5 of its Form ADV Part 2A brochure." }, { "q": "Where is Main Line Capital Management LLC located?", "a": "Main Line Capital Management LLC's principal office is in East Aurora, NY, according to its Form ADV." }, { "q": "Is Main Line Capital Management LLC registered with the SEC or a state?", "a": "Main Line Capital Management LLC is a state-registered investment advisory firm, registered since 2008. Status as filed: APPROVED. CRD 130960." }, { "q": "How much does Main Line Capital Management LLC manage?", "a": "Main Line Capital Management LLC reports $18,000,000 in regulatory assets under management in its Form ADV filing dated February 19, 2026 (100% discretionary)." }, { "q": "What types of clients does Main Line Capital Management LLC serve?", "a": "By number of clients on Form ADV Item 5.D: high net worth individuals (52)." }, { "q": "Does Main Line Capital Management LLC report any disciplinary disclosures?", "a": "Reports 4 disclosure items on Form ADV Item 11: yes answers to 11.D(3) (another regulator's finding of causing a business's authorization to be denied, suspended, revoked, or restricted), 11.D(4) (another regulator's order in the past ten years), 11.D(5) (another regulator's denial, suspension, or revocation of a registration or license, bar, or restriction), and 11.E(4) (self-regulatory organization's expulsion, suspension, bar, or restriction). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/130960" } ], "filing_history": [], "recent_changes": [], "fees_from_brochure": null, "custodians": [], "custodians_note": null, "markdown_url": "https://advisorcensus.com/firm/main-line-capital-management-llc-east-aurora-ny-130960.md", "clients": [ { "type": "high_net_worth_individuals", "label": "High net worth individuals", "count": 52, "fewer_than_5": false, "raum": 18000000.0 } ], "disclosure_line": "Reports 4 disclosure items on Form ADV Item 11.", "indexable": true, "suppressed": false, "claimed": false, "enhanced": false, "provided_by_the_firm": null, "source": { "name": "Form ADV", "as_of": "2026-10-01", "iapd_url": "https://adviserinfo.sec.gov/firm/summary/130960", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }