SEC-registered firm
Registration does not mean the SEC approves or recommends the firm, and it does not imply a certain level of skill or training.
Mainstream Capital Management
Los Angeles, CA
Mainstream Capital Management LLC, CRD 297145
Firm filing updated March 18, 2026 ·
- $224MAssets
- 2Advisory staff
- 175Accounts
Fees and minimums
All fee types on the form
- Percentage of assets under managementYes
- Fixed feesYes
- Hourly chargesNo
- Subscription fees (for a newsletter or periodical)No
- CommissionsNo
- Performance-based feesNo
- OtherNo
Who the firm serves
- Individuals110
- High net worth individuals60
See the client table
| Client type | Approximate number of clients | Assets |
|---|---|---|
| Individuals (other than high net worth) | 110 | $29.1 million |
| High net worth individuals | 60 | $189.2 million |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | Fewer than 5 clients | $661,408 |
| Corporations or other businesses not listed above | Fewer than 5 clients | $5.0 million |
What the client labels mean
Here, "individuals" includes trusts, estates, and IRAs of individuals. A "high net worth individual" is a qualified client or qualified purchaser.
Services
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
Assets and accounts
- Regulatory assets$224.0 million
- Accounts175
- DiscretionaryAll accounts
People
- Employees4
- Advisory staff2
- Broker-dealer reps1
- Licensed insurance agents1
- Planning clients101 to 250
Advisors
1 advisors with a profile on Advisable
Listed A to Z by last name. Not a ranking.
Registration details
- Legal name: Mainstream Capital Management LLC SEC-registered investment advisor. CRD 297145, SEC file 801-122460.
- Registered with the SEC as an investment advisor (status date on record: October 8, 2021).
Is Mainstream Capital Management a fiduciary?
Short answer: Mainstream Capital Management is registered with the SEC as an investment advisor.
More detail
Some of its people may also act in other roles, such as for a broker-dealer or as insurance agents, where different rules apply. Details below.
The SEC put it this way in 2019: 'Under federal law, an investment adviser is a fiduciary.'
Some of the firm's people may also act for a broker-dealer: 1 staff member is a broker-dealer representative and the firm is itself a registered representative of a broker-dealer. When someone acts for a broker-dealer, a different SEC standard, Regulation Best Interest, applies to their recommendations. Ask which role they are acting in.
1 staff member is a licensed insurance agent.
The firm's Form CRS explains its services, fees and conflicts in plain language: Form CRS.
About this data
Informational only. Advisable Finance is not an investment advisor, does not give investment advice, and does not endorse any advisor.