MAIN MANAGEMENT LLC

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Main Management is based out of San Francisco. Main Management is a large advisory firm with 197 clients and discretionary assets under management (AUM) of $610,748,950 (Form ADV from 2019-05-20). Their last reported 13F filing for Q3 2019 included $719,560,000 in managed 13F securities and a top 10 holdings concentration of 62.87%. Main Management's largest holding is SPDR S&P 500 ETF Trust with shares held of 391,550. Whalewisdom has at least 27 13F filings

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09/30/2019

13F Sector Allocation Over Time

09/30/2019

13F Activity

  • Market Value $719.56 Million
  • Prior Market Value $687.696 Million
  • New Purchases7 stocks
  • Additional Purchases29 stocks
  • Sold out of4 stocks
  • Reduced holdings in23 stocks
  • Top 10 Holdings % 62.87 %
  • Turnover % [1]:12.36%
  • Turnover Alt % [2]: 12.89 %
  • Time Held Top20:9.90 quarters
  • Time Held Top10:12.40 quarters
  • Time Held All:9.61 quarters

[1]: Turnover is calculated by taking the # of new holdings (initial purchases) + the # of positions sold out of (not just reduced) divided by the total # of holdings for the quarter.

[2]: Alt Turnover is calculated by taking either the total MV of new purchases or the MV of securities sold, whichever is less, divided by the total MV of the fund.

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2019-11-14

Performance for Q3 2019: 7.58%
Performance Last 4 Quarters: 0.0%
Performance Metrics
Stats are not available for the latest quarter

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13F Filings Available:
  • 2019-09-30 - 13F-HR (Subscription required)
  • 2019-06-30 - 13F-HR (Subscription required)
  • 2019-03-31 - 13F-HR (Subscription required)
  • 2018-12-31 - 13F-HR (Subscription required)
  • 2018-09-30 - 13F-HR (Subscription required)
  • 2018-06-30 - 13F-HR (Subscription required)
  • 2018-03-31 - 13F-HR (Subscription required)
  • 2017-12-31 - 13F-HR (Subscription required)
  • 2017-09-30 - 13F-HR (Subscription required)
  • 2017-06-30 - 13F-HR (Subscription required)
  • 2017-03-31 - 13F-HR (Subscription required)
  • 2016-12-31 - 13F-HR (Subscription required)
  • 2016-09-30 - 13F-HR (Subscription required)
  • 2016-06-30 - 13F-HR/A (Subscription required)
  • 2016-06-30 - 13F-HR (Subscription required)
  • 2016-03-31 - 13F-HR (Subscription required)
  • 2015-12-31 - 13F-HR (Subscription required)
  • 2015-09-30 - 13F-HR (Subscription required)
  • 2015-06-30 - 13F-HR (Subscription required)
  • 2015-03-31 - 13F-HR (Subscription required)
  • 2014-12-31 - 13F-HR (Subscription required)
  • 2014-09-30 - 13F-HR (Subscription required)
  • 2014-06-30 - 13F-HR (Subscription required)
  • 2014-03-31 - 13F-HR (Subscription required)
  • 2013-12-31 - 13F-HR (Subscription required)
  • 2013-09-30 - 13F-HR (Subscription required)
  • 2013-06-30 - 13F-HR (Subscription required)

View Last Form Adv Compilation Report on Record

MAIN MANAGEMENT, LLC
Classified as Hedge Fund
601 CALIFORNIA STREET SUITE 620
SAN FRANCISCO CA    94108
Country: United States

Business Phone: 415-217-5800
Fax: 415-217-5809
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Limited Liability Company
Organized in: CA
Number of employees: 12
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management,Fixed fees
Amount of client funds and securities: 227,455,000
Total Number of Clients: 197
Amount of client funds and securities by related persons:
Total Number of clients from related persons:
Disclosures:
Data above was derived from SEC filings.

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MAIN MANAGEMENT, LLC

ownership team - last updated 2019-05-20
Name Title Start Date Direct/Indirect % Ownership
CONCIDINE, JAMES, WESLEY MANAGING MEMBER 07/01/2002 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
MAIN MANAGEMENT, LLC MANAGING MEMBER direct 2002-07-01
MAIN MANAGEMENT, LLC MANAGING MEMBER, CHIEF FINANCIAL OFFICER direct 2002-07-01
MAIN MANAGEMENT FUND ADVISORS, LLC MANAGING MEMBER indirect 2002-07-01
MAIN MANAGEMENT FUND ADVISORS, LLC MANAGING MEMBER, CHIEF FINANCIAL OFFICER indirect 2002-07-01
MAIN MANAGEMENT ETF ADVISORS, LLC MANAGING MEMBER indirect 2002-07-01
FREDERICKS INVESTMENTS, LP MEMBER 07/01/2002 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
MAIN MANAGEMENT, LLC MEMBER direct 2002-07-01
DIVERSIFED CREDIT INVESTMENTS LLC MEMBER, CLASS B direct 2004-09-01
MINER, MARY MEMBER 04/01/2002 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
MAIN MANAGEMENT, LLC MEMBER direct 2002-04-01
MAIN MANAGEMENT FUND ADVISORS, LLC MEMBER direct 2016-12-01
ARTHUR, KIM, DAVID MANAGING MEMBER, CEO AND PRESIDENT 08/01/2002 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
MAIN MANAGEMENT, LLC MANAGING MEMBER, CEO AND PRESIDENT direct 2002-08-01
MAIN MANAGEMENT, LLC PRESIDENT direct 2002-08-01
MAIN MANAGEMENT, LLC MANAGING MEMBER, PRESIDENT direct 2002-08-01
MAIN MANAGEMENT FUND ADVISORS, LLC MANAGING MEMBER, CEO AND PRESIDENT indirect 2002-08-01
MAIN MANAGEMENT FUND ADVISORS, LLC PRESIDENT AND CHIEF EXECUTIVE OFFICER direct 2015-09-01
MAIN MANAGEMENT ETF ADVISORS, LLC MANAGING MEMBER, CEO AND PRESIDENT indirect 2002-08-01
MAIN MANAGEMENT ETF ADVISORS, LLC PRESIDENT AND CHIEF EXECUTIVE OFFICER direct 2017-02-01
DOCKER, BLAINE CHIEF OPERATIONS OFFICER 02/01/2007 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
MAIN MANAGEMENT, LLC CHIEF OPERATIONS OFFICER direct 2007-02-01
MAIN MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2007-02-01
MAIN MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER / CHIEF OPERATIONS OFFICER direct 2007-02-01
MAIN MANAGEMENT FUND ADVISORS, LLC SECRETARY AND CHIEF OPERATING OFFICER direct 2015-09-01
MAIN MANAGEMENT ETF ADVISORS, LLC SECRETARY AND CHIEF OPERATING OFFICER direct 2017-02-01
ESMAIL, HAFEEZ, AKBER CHIEF COMPLIANCE OFFICER 03/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
MAIN MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2013-03-01
MAIN MANAGEMENT FUND ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2015-09-01
MAIN MANAGEMENT ETF ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2017-02-01
KING, LUKE, WILLIAM MANAGING DIRECTOR 02/01/2017 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
MAIN MANAGEMENT, LLC MANAGING DIRECTOR direct 2017-02-01
FREDERICKS, JOHN, RICHARD MEMBER FREDERICKS INVESTMENTS, LP 07/01/2002 Indirect 75% or more
Fund Name Position direct/indirect start date end date
MAIN MANAGEMENT, LLC GENERAL PARTNER indirect 2002-07-01
MAIN MANAGEMENT, LLC MEMBER indirect 2002-07-01
MAIN MANAGEMENT, LLC MANAGING MEMBER indirect 2002-07-01
DIVERSIFED CREDIT INVESTMENTS LLC PARTNER indirect 1990-06-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
CORE ENDOWMENT PORTFOLIO II, LP United States 805-9384409780 Hedge Fund 76,168,440 500,000 Fund of Funds

MAIN MANAGEMENT, LLC

ownership team - last updated 2019-03-29
Name Title Start Date Direct/Indirect % Ownership
CONCIDINE, JAMES, WESLEY MANAGING MEMBER 07/01/2002 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
MAIN MANAGEMENT, LLC MANAGING MEMBER direct 2002-07-01
MAIN MANAGEMENT, LLC MANAGING MEMBER, CHIEF FINANCIAL OFFICER direct 2002-07-01
MAIN MANAGEMENT FUND ADVISORS, LLC MANAGING MEMBER indirect 2002-07-01
MAIN MANAGEMENT FUND ADVISORS, LLC MANAGING MEMBER, CHIEF FINANCIAL OFFICER indirect 2002-07-01
MAIN MANAGEMENT ETF ADVISORS, LLC MANAGING MEMBER indirect 2002-07-01
FREDERICKS INVESTMENTS, LP MEMBER 07/01/2002 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
MAIN MANAGEMENT, LLC MEMBER direct 2002-07-01
DIVERSIFED CREDIT INVESTMENTS LLC MEMBER, CLASS B direct 2004-09-01
MINER, MARY MEMBER 04/01/2002 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
MAIN MANAGEMENT, LLC MEMBER direct 2002-04-01
MAIN MANAGEMENT FUND ADVISORS, LLC MEMBER direct 2016-12-01
ARTHUR, KIM, DAVID MANAGING MEMBER, CEO AND PRESIDENT 08/01/2002 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
MAIN MANAGEMENT, LLC MANAGING MEMBER, CEO AND PRESIDENT direct 2002-08-01
MAIN MANAGEMENT, LLC PRESIDENT direct 2002-08-01
MAIN MANAGEMENT, LLC MANAGING MEMBER, PRESIDENT direct 2002-08-01
MAIN MANAGEMENT FUND ADVISORS, LLC MANAGING MEMBER, CEO AND PRESIDENT indirect 2002-08-01
MAIN MANAGEMENT FUND ADVISORS, LLC PRESIDENT AND CHIEF EXECUTIVE OFFICER direct 2015-09-01
MAIN MANAGEMENT ETF ADVISORS, LLC MANAGING MEMBER, CEO AND PRESIDENT indirect 2002-08-01
MAIN MANAGEMENT ETF ADVISORS, LLC PRESIDENT AND CHIEF EXECUTIVE OFFICER direct 2017-02-01
DOCKER, BLAINE CHIEF OPERATIONS OFFICER 02/01/2007 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
MAIN MANAGEMENT, LLC CHIEF OPERATIONS OFFICER direct 2007-02-01
MAIN MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2007-02-01
MAIN MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER / CHIEF OPERATIONS OFFICER direct 2007-02-01
MAIN MANAGEMENT FUND ADVISORS, LLC SECRETARY AND CHIEF OPERATING OFFICER direct 2015-09-01
MAIN MANAGEMENT ETF ADVISORS, LLC SECRETARY AND CHIEF OPERATING OFFICER direct 2017-02-01
ESMAIL, HAFEEZ, AKBER CHIEF COMPLIANCE OFFICER 03/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
MAIN MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2013-03-01
MAIN MANAGEMENT FUND ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2015-09-01
MAIN MANAGEMENT ETF ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2017-02-01
KING, LUKE, WILLIAM MANAGING DIRECTOR 02/01/2017 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
MAIN MANAGEMENT, LLC MANAGING DIRECTOR direct 2017-02-01
FREDERICKS, JOHN, RICHARD MEMBER FREDERICKS INVESTMENTS, LP 07/01/2002 Indirect 75% or more
Fund Name Position direct/indirect start date end date
MAIN MANAGEMENT, LLC GENERAL PARTNER indirect 2002-07-01
MAIN MANAGEMENT, LLC MEMBER indirect 2002-07-01
MAIN MANAGEMENT, LLC MANAGING MEMBER indirect 2002-07-01
DIVERSIFED CREDIT INVESTMENTS LLC PARTNER indirect 1990-06-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
CORE ENDOWMENT PORTFOLIO II, LP United States 805-9384409780 Hedge Fund 76,168,440 500,000 Fund of Funds

MAIN MANAGEMENT, LLC

ownership team - last updated 2018-04-24
Name Title Start Date Direct/Indirect % Ownership
CONCIDINE, JAMES, WESLEY MANAGING MEMBER 07/01/2002 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
MAIN MANAGEMENT, LLC MANAGING MEMBER direct 2002-07-01
MAIN MANAGEMENT, LLC MANAGING MEMBER, CHIEF FINANCIAL OFFICER direct 2002-07-01
MAIN MANAGEMENT FUND ADVISORS, LLC MANAGING MEMBER indirect 2002-07-01
MAIN MANAGEMENT FUND ADVISORS, LLC MANAGING MEMBER, CHIEF FINANCIAL OFFICER indirect 2002-07-01
MAIN MANAGEMENT ETF ADVISORS, LLC MANAGING MEMBER indirect 2002-07-01
FREDERICKS INVESTMENTS, LP MEMBER 07/01/2002 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
MAIN MANAGEMENT, LLC MEMBER direct 2002-07-01
DIVERSIFED CREDIT INVESTMENTS LLC MEMBER, CLASS B direct 2004-09-01
MINER, MARY MEMBER 04/01/2002 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
MAIN MANAGEMENT, LLC MEMBER direct 2002-04-01
MAIN MANAGEMENT FUND ADVISORS, LLC MEMBER direct 2016-12-01
ARTHUR, KIM, DAVID MANAGING MEMBER, CEO AND PRESIDENT 08/01/2002 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
MAIN MANAGEMENT, LLC MANAGING MEMBER, CEO AND PRESIDENT direct 2002-08-01
MAIN MANAGEMENT, LLC PRESIDENT direct 2002-08-01
MAIN MANAGEMENT, LLC MANAGING MEMBER, PRESIDENT direct 2002-08-01
MAIN MANAGEMENT FUND ADVISORS, LLC MANAGING MEMBER, CEO AND PRESIDENT indirect 2002-08-01
MAIN MANAGEMENT FUND ADVISORS, LLC PRESIDENT AND CHIEF EXECUTIVE OFFICER direct 2015-09-01
MAIN MANAGEMENT ETF ADVISORS, LLC MANAGING MEMBER, CEO AND PRESIDENT indirect 2002-08-01
MAIN MANAGEMENT ETF ADVISORS, LLC PRESIDENT AND CHIEF EXECUTIVE OFFICER direct 2017-02-01
DOCKER, BLAINE CHIEF OPERATIONS OFFICER 02/01/2007 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
MAIN MANAGEMENT, LLC CHIEF OPERATIONS OFFICER direct 2007-02-01
MAIN MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2007-02-01
MAIN MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER / CHIEF OPERATIONS OFFICER direct 2007-02-01
MAIN MANAGEMENT FUND ADVISORS, LLC SECRETARY AND CHIEF OPERATING OFFICER direct 2015-09-01
MAIN MANAGEMENT ETF ADVISORS, LLC SECRETARY AND CHIEF OPERATING OFFICER direct 2017-02-01
ESMAIL, HAFEEZ, AKBER CHIEF COMPLIANCE OFFICER 03/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
MAIN MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2013-03-01
MAIN MANAGEMENT FUND ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2015-09-01
MAIN MANAGEMENT ETF ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2017-02-01
KING, LUKE, WILLIAM MANAGING DIRECTOR 02/01/2017 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
MAIN MANAGEMENT, LLC MANAGING DIRECTOR direct 2017-02-01
FREDERICKS, JOHN, RICHARD MEMBER FREDERICKS INVESTMENTS, LP 07/01/2002 Indirect 75% or more
Fund Name Position direct/indirect start date end date
MAIN MANAGEMENT, LLC GENERAL PARTNER indirect 2002-07-01
MAIN MANAGEMENT, LLC MEMBER indirect 2002-07-01
MAIN MANAGEMENT, LLC MANAGING MEMBER indirect 2002-07-01
DIVERSIFED CREDIT INVESTMENTS LLC PARTNER indirect 1990-06-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
CORE ENDOWMENT PORTFOLIO II, LP United States 805-9384409780 Hedge Fund 89,880,451 500,000 Fund of Funds

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