Data / Investment advisers / New York / Main Street Financial
Main Street Financial, Purchase, NY: $71.1 million AUM, SEC registered investment adviser
Updated November 7, 2026. Source: the SEC's Form ADV data files for investment advisers.
Main Street Financial is an SEC registered investment adviser with its main office in Purchase, New York and reports $71.1 million in regulatory assets under management in its Form ADV filed February 10, 2026. Its clients include high net worth individuals and individuals. It is paid through a percentage of assets under management and hourly charges.
The request: Watch Main Street Financial (CRD number 118130): each new Form ADV amendment, with AUM, clients and private funds. $10 of work on sign-up, no card.
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- Registration
- SEC registered investment adviser
- CRD number
- 118130
- SEC file number
- 801-76458
- SEC status
- Approved, effective May 3, 2012
- Legal name
- Main Street Financial LLC
- Main office
- 2500 Westchester Ave Suite 107, Purchase, NY 10577
- Phone
- (914) 698-8303
- Website
- mainstfinancial.com
- Regulatory AUM
- $71,108,570 in the Form ADV filed February 10, 2026
- Discretionary AUM
- $71,108,570
- Accounts
- 267
- Employees
- 4, of which 3 give investment advice
- Form of organization
- Limited Liability Company
- Paid through
- a percentage of assets under management, hourly charges
- Form ADV Item 11 disclosures
- None reported
- Latest Form ADV filing
- February 10, 2026
- SEC record
- Investment Adviser Public Disclosure
Clients
Client types the adviser reports in Form ADV item 5.D, with the AUM it attributes to each.
| Client type | Clients | AUM |
|---|---|---|
| High net worth individuals | 22 | $45.1 million |
| Individuals (other than high net worth individuals) | 76 | $26 million |
AUM in the SEC's monthly files
Each change in the AUM the adviser reported across the monthly SEC files held here, with the first file that shows the new value.
| First in the file of | AUM | Form ADV filed |
|---|---|---|
| March 2, 2026 | $71.1 million | February 10, 2026 |
| December 1, 2025 | $61.3 million | February 11, 2025 |
Other advisers in Purchase
| Adviser | City | AUM | Private funds | Source |
|---|---|---|---|---|
| Alpine Saxon Woods | Purchase | $669.6 million | Not listed | adviserinfo.sec.gov |
| Bracco Asset Management | Purchase | $446 million | 2 | adviserinfo.sec.gov |
| One Oak Capital Management, LLC | Purchase | $418.5 million | 3 | adviserinfo.sec.gov |
| Alpine Woods Capital Investors, LLC | Purchase | $180.6 million | 3 | adviserinfo.sec.gov |
| Seacrest Investment Management, LLC | Purchase | $110.9 million | Not listed | adviserinfo.sec.gov |
Also on SpecStream
- Investment advisers in Purchase, NY
- Investment advisers in New York
- Advisers with $50 million to $100 million in AUM
- Advisers serving high net worth individuals
- Advisers serving individuals
- Main Street Financial on the SEC's adviser search
Public data published by the US Securities and Exchange Commission (US government work). Advisers report these values themselves in Form ADV, and neither the SEC nor the states approve or guarantee them. AUM is regulatory assets under management as the adviser reported it in Form ADV item 5.F, which can differ from the AUM a firm quotes elsewhere. Exempt reporting advisers do not report AUM. Office address, phone and website are the adviser's main office as filed; a firm that files its main office as a private residence shows no street address or phone. An Item 11 disclosure is a reported event, not a finding about the firm today. Details for each firm are on the SEC's Investment Adviser Public Disclosure site. This page uses SEC data and is not endorsed or certified by the SEC. Free to reuse with credit to SpecStream under CC BY 4.0. Spot a wrong value? Write to [email protected] with the link to this page.