AdvisorCensus / Financial advisors / California / Los Angeles / Mainstream Capital Management
Mainstream Capital Management
Filed as MAINSTREAM CAPITAL MANAGEMENT · Legal name Mainstream Capital Management LLC
Mainstream Capital Management is an SEC-registered investment advisory firm in Los Angeles, CA, registered since 2021, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated March 18, 2026.
Quick answers
From the filingHow is Mainstream Capital Management compensated?
On its Form ADV (Item 5.E, October 2026), Mainstream Capital Management reports these compensation arrangements: a percentage of assets under its management; fixed fees (other than subscription fees).
Where is Mainstream Capital Management located?
Mainstream Capital Management's principal office is in Los Angeles, CA, according to its Form ADV.
Is Mainstream Capital Management registered with the SEC or a state?
Mainstream Capital Management is an SEC-registered investment advisory firm, registered since 2021. Status as filed: Approved. CRD 297145.
How much does Mainstream Capital Management manage?
Mainstream Capital Management reports $223,980,722 in regulatory assets under management in its Form ADV filing dated March 18, 2026 (100% discretionary).
How have Mainstream Capital Management's assets and staff changed since 2022?
In the Form ADV data for Mainstream Capital Management: Regulatory assets under management: $228,675,766 in the October 2022 data and $223,980,722 in the October 2026 data, down 2%. Total employees: 5 in October 2022 and 4 in October 2026. Assets under management move with markets as well as with clients coming and going.
What types of clients does Mainstream Capital Management serve?
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (110); high net worth individuals (60).
Which custodians does Mainstream Capital Management use?
Mainstream Capital Management's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. and Raymond James & Associates, Inc. as custodians holding 10% or more of its separately managed account assets.
Does Mainstream Capital Management report any disciplinary disclosures?
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/297145
Does Mainstream Capital Management state an account minimum?
Its Form ADV Part 2A brochure dated March 18, 2026 says: "We manage assets for high net worth individuals, businesses, and corporations and other businesses. We do not currently have any minimum requirements for opening or maintaining an account."
What changed in Mainstream Capital Management's recent Form ADV filings?
In the April 2026 filing data: Registered or notice-filed in MD, ME, NV, VT.
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
- Fixed fees (other than subscription fees)
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
Fees and minimums
Form ADV Part 2AAccount minimum: None
The brochure's wording
We manage assets for high net worth individuals, businesses, and corporations and other businesses. We do not currently have any minimum requirements for opening or maintaining an account.
As stated in the firm's Form ADV Part 2A brochure dated March 18, 2026. Fees can differ by service and may be negotiable; the brochure is the complete statement. Read the brochure on the SEC's IAPD site
Regulatory assets under management
Item 5.F$223,980,722 as of October 2026, filing dated March 18, 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
- Portfolio management for businesses (other than small businesses) or institutional clients
Registration and firm details
Items 1, 2, 5- Legal name
- Mainstream Capital Management LLC
- Also doing business as
- MAINSTREAM CAPITAL MANAGEMENT
- Registration
- SEC-registered investment adviser. Status as filed: Approved.
- Registered since
- 2021 (4 years)
- Employees
- Total: 4. Performing investment advisory functions: 2.
- Wrap fee program participation
- No.
- Custodians (Schedule D, Section 5.K(3))
-
Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.
- States registered or notice-filed
-
14 states or jurisdictions
SEC-registered investment advisers are examined by the SEC. 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
Assets and staff over time
Items 5.A, 5.F| Data period | Assets under management | Employees | Filing dated |
|---|---|---|---|
| October 2026 | $223,980,722 | 4 | March 18, 2026 |
| October 2025 | $209,944,513 | 4 | February 11, 2025 |
| October 2024 | $191,721,896 | 4 | April 1, 2024 |
| October 2023 | $185,945,480 | 5 | April 3, 2023 |
| October 2022 | $228,675,766 | 5 | May 24, 2022 |
Regulatory assets under management: $228,675,766 in the October 2022 data and $223,980,722 in the October 2026 data, down 2%.
Total employees: 5 in October 2022 and 4 in October 2026.
As filed in each year's data for the same month. Assets under management move with markets as well as with clients coming and going; they measure scale, not skill or returns. Most firms update these figures once a year.
Changes in the filing
Last 12 months- April 2026
- Registered or notice-filed in MD, ME, NV, VT.
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.ISource: 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. Mainstream Capital Management (CRD 297145): Form ADV filing data as of October 2026. https://advisorcensus.com/firm/mainstream-capital-management-los-angeles-ca-297145