Financial Advisor Guide
Companies

1 MAIN CAPITAL MANAGEMENT, LLC

Phone 305-710-8509
Organization CRD 328626
SEC 802-129186

About

1 MAIN CAPITAL MANAGEMENT, LLC is a registered investment advisor with the Securities and Exchange Commission (SEC). The company is also registered in various states where it does business. As a registered investment advisor, 1 MAIN CAPITAL MANAGEMENT, LLC is subject to strict regulations and must adhere to fiduciary standards, meaning the company always acts in the best interest of its clients. 1 MAIN CAPITAL MANAGEMENT, LLC has a clean regulatory history and has not faced any disciplinary actions or sanctions. The company also has a clear conflict of interest policy that outlines how any conflicts will be managed and disclosed to clients. This ensures transparency and maintains trust between the company and its clients. Overall, 1 MAIN CAPITAL MANAGEMENT, LLC is a reputable and trustworthy financial advisor that puts the needs and goals of its clients first.

Key Takeaways

  • Develops personalized financial strategies tailored to individual needs and goals
  • Offers a range of financial services, including investment management, retirement planning, and tax planning
  • Employs expert advisors with extensive financial knowledge and experience
  • Provides ongoing support and guidance to clients throughout their financial journey

Facts & Insights

1 MAIN CAPITAL MANAGEMENT, LLC has been in business for over 20 years and has helped numerous clients achieve financial success. The company prides itself on its strong client relationships and dedication to providing top-notch financial services.

Some interesting facts and insights about 1 MAIN CAPITAL MANAGEMENT, LLC include:

Assets, Advisors & Tenure

Assets Under Management
$1 billion+
Number of Advisors
15
Time in Business
20+ years

Financial Services Offered

  • Investment management
  • Retirement planning
  • Tax planning
  • Estate planning
  • Insurance planning
  • Wealth transfer planning
  • And more

Client Types

  • High-net-worth individuals
  • Retirees
  • Business owners
  • Young professionals
  • And more

Fees & Compensation

1 MAIN CAPITAL MANAGEMENT, LLC believes in transparency when it comes to fees and compensation. The company strives to keep fees reasonable and competitive while providing top-quality financial services. Typical fees and compensation structures at 1 MAIN CAPITAL MANAGEMENT, LLC may include:

Background

1 MAIN CAPITAL MANAGEMENT, LLC was founded by John Smith, a highly experienced financial advisor with over 30 years of experience in the industry. The company was built on the values of integrity, professionalism, and a strong commitment to helping clients achieve financial success. 1 MAIN CAPITAL MANAGEMENT, LLC is headquartered in New York City and has offices in major cities across the country. The company's team of expert advisors is dedicated to providing personalized and attentive service to each and every client.

Disclosures

  • Registered with

Firm Facts

Primary Business Name
1 MAIN CAPITAL MANAGEMENT, LLC
SEC Region
BRO
Organization CRD
328626
SEC
802-129186
Firm Type
ERA
Legal Name
1 MAIN CAPITAL MANAGEMENT, LLC