Mai Capital Management, Llc
SEC-registered
Trust Company · Large ($10B–$100B)
CRD 109807
· SEC file 801-58104
· Cleveland, OH
· www.facebook.com
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ADV data as of Jul 02, 2026
- Regulatory AUM
- $52.1B
- Discretionary
- $35.7B
- Clients
- 16,261
- Avg AUM / client
- $3.2M
- Accounts
- 48,547
- Employees
- 562
AUM over time
$1.8B
$52.1B
Dec 2011
Jul 2026
Annual snapshots from Form ADV filings · as of Jul 02, 2026
Asset allocation (SMA assets by investment type)
as of Jul 02, 2026
Registered investment companies (funds/ETFs)
$22.4B
43%
Pooled investment vehicles
$10.9B
21%
Exchange-traded equities
$9.9B
19%
Cash & equivalents
$3.6B
7%
State & local bonds
$1.6B
3%
US government & agency bonds
$1.0B
2%
Investment-grade corporate bonds
$1.0B
2%
Non-exchange-traded equities
$521M
1%
Non-investment-grade bonds
$521M
1%
Other
$521M
1%
Share of SMA assets by investment vehicle type, as filed in Form ADV Item 5.K. Dollar figures are percentages applied to total regulatory AUM.
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 10,838 | $6.7B | 12.8% |
| High net worth individuals | 4,902 | $27.6B | 53.0% |
| Banking or thrift institutions | 0 | $0 | — |
| Investment companies | 1 | $217M | 0.42% |
| Pooled investment vehicles (non-investment companies) | 33 | $2.5B | 4.72% |
| Pension and profit sharing plans | 205 | $13.9B | 26.8% |
| Charitable organizations | 90 | $416M | 0.8% |
| State or municipal government entities | 5 | $17.3M | 0.03% |
| Other investment advisers | 2 | $156M | 0.3% |
| Insurance companies | 0 | $0 | — |
| Sovereign wealth funds and foreign official institutions | 0 | $0 | — |
| Corporations and other businesses | 184 | $628M | 1.21% |
| Other | 1 | $121K | 0.0% |
Private funds (30)
View all →Reported in Form ADV Section 7.B.(1), filing of Sep 2024 · $482M combined gross assets
| Fund | Type | Domicile | Gross assets | Owners |
|---|---|---|---|---|
| Mai Capital Income And Growth Fund V Qp, L.P. | Real Estate Fund | Delaware | $120M | 185 |
| Mai Capital Gp Staking Fund Lp | Private Equity Fund | Delaware | $85.9M | 447 |
| Mai Diversified Real Estate Income Fund, L.P. | Real Estate Fund | Delaware | $50.5M | 101 |
| Mai Capital Income And Growth Fund Iv, L.P. | Real Estate Fund | Delaware | $42.6M | 89 |
| Mai Glade Brook Venture Fund Lp | Real Estate Fund | Delaware | $26.2M | 146 |
| Mai Diversified Real Estate Income Fund Ii, L.P. | Real Estate Fund | Delaware | $24.3M | 77 |
| Mai Diversified Real Estate Income Fund Iii | Real Estate Fund | Delaware | $21.0M | 67 |
| Mai Capital Income And Growth Fund Vi, Qp | Real Estate Fund | Delaware | $20.8M | 487 |
| Mai Capital Income And Growth Fund Iii, Lp | Real Estate Fund | Delaware | $18.7M | 47 |
| Mai Lending Fund, L.P. | Private Equity Fund | Delaware | $15.2M | 69 |
| Mai Capital Income And Growth Fund V Qc, L.P. | Real Estate Fund | Delaware | $13.7M | 70 |
| Mai Solamere Private Equity Fund Lp | Private Equity Fund | Delaware | $9.1M | 75 |
| Mai Opportunity Fund, Lp | Private Equity Fund | Delaware | $8.5M | 60 |
| Hartwell Capital Partners Lp | Hedge Fund | Delaware | $4.8M | 6 |
| Intersect Ventures Vi Llc | Private Equity Fund | Delaware | $4.7M | 16 |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
People (304)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Richard James Buoncore | Executive Chairman | Apr 2007 (19y) | Less than 5% | |
| John Daniel Zaller | Managing Partner | CFA | Jan 2008 (19y) | Less than 5% |
| Kurt David Nye | Managing Partner & Chief Investment Officer | CFA | Sep 2013 (13y) | Less than 5% |
| Drockton, Leslie | General Counsel | Jun 2023 (3y) | Less than 5% | |
| Happe, Mark, Jonathan | Chief Compliance Officer | Aug 2023 (3y) | Less than 5% | |
| Joseph R. Mclean | Managing Partner | Sep 2024 (2y) | Less than 5% | |
| Kacic, James, D. | Managing Partner And Chief Operating Officer | Sep 2024 (2y) | Less than 5% | |
| Noftsinger, Philip | Chief Financial Officer | Sep 2024 (2y) | Less than 5% | |
| John Guido Ciancibello | Registered representative | Jul 2001 (25y) | ||
| John George Palguta | Registered representative | CFP | Jul 2001 (25y) | |
| Douglas John Butler | Registered representative | CFA | Mar 2010 (16y) | |
| Gregory Ronald Badowski | Registered representative | CFP | Apr 2011 (15y) | |
| Timothy C. Carneval | Registered representative | CFP | Dec 2011 (15y) | |
| Jason Edward Putman | Registered representative | CFP CFA | Sep 2012 (14y) | |
| Jeffrey William Stark | Registered representative | CFA | Jan 2013 (14y) | |
| Michael Lee Beaulieu | Registered representative | CFP CFA | Jun 2014 (12y) | |
| James Lyman Smith | Registered representative | Dec 2014 (12y) | ||
| Andrew Raymond Meyer | Registered representative | CFP CFA | Jun 2015 (11y) | |
| Nicholas Michael Srmag | Registered representative | CFA | Aug 2016 (10y) | |
| Christine Elizabeth Pauletta | Registered representative | Sep 2016 (10y) | ||
| Robert Leonard Caron | Registered representative | Jan 2017 (10y) | ||
| Ryan David Ashley | Registered representative | CFP | Jul 2017 (9y) | |
| Benjamin Joel Sayer | Registered representative | CFA | Jul 2017 (9y) | |
| Lynne Marie Lawrence | Registered representative | Aug 2017 (9y) | ||
| Riley Robertson Rindo | Registered representative | CFP | Nov 2017 (9y) | |
| Douglas Michael Andrassy | Registered representative | CFP | Feb 2018 (8y) | |
| William James Collins | Registered representative | CFP | Feb 2018 (8y) | |
| John Michael Ruby | Registered representative | CFP | Jan 2019 (8y) | |
| Ryan Joseph Catanese | Registered representative | CFP | Feb 2019 (7y) | |
| Bradley Jon Smith | Registered representative | Jul 2019 (7y) | ||
| Neil Joseph John Hantak | Registered representative | CFA | Jul 2019 (7y) | |
| William Carl Bruns | Registered representative | Jul 2019 (7y) | ||
| Michael C Brennan | Registered representative | CFP | Jul 2019 (7y) | |
| William Robert Bruns | Registered representative | CFP | Jul 2019 (7y) | |
| John David Dovich | Registered representative | Chartered Financial Consultant | Jul 2019 (7y) | |
| Thomas Joseph Lalley | Registered representative | CFP CFA | Jul 2019 (7y) | |
| Steven Brent Trax | Registered representative | CFP | Jul 2019 (7y) | |
| Frank Sanchez | Registered representative | CFP Chartered Financial Consultant | Oct 2020 (6y) | |
| Buoncore John Christopher | Registered representative | Nov 2020 (6y) | ||
| Aaron J Ziska | Registered representative | CFP CFA | Dec 2020 (6y) | |
| Devin Robert Fraley | Registered representative | Dec 2020 (6y) | ||
| Robert Christopher Chorlins | Registered representative | CFP | Dec 2020 (6y) | |
| Jay Kelly White | Registered representative | Jan 2021 (6y) | ||
| Matthew Ross Chaffin | Registered representative | Jan 2021 (6y) | ||
| Stephen Ward Chaffin | Registered representative | Jan 2021 (6y) | ||
| Gorge Luis Estevez | Registered representative | CFP | Jan 2021 (6y) | |
| Joan Denise Malloy | Registered representative | CFP CFA | Jan 2021 (6y) | |
| Marla Kim Petti | Registered representative | CFP Personal Financial Specialist | Jan 2021 (6y) | |
| Nicholas Steven Mccreary | Registered representative | CFP | Jan 2021 (6y) | |
| Craig Steven Petti | Registered representative | Jan 2021 (6y) | ||
| Andrew J Marusic | Registered representative | Jan 2021 (6y) | ||
| Stanley John Majkrzak | Registered representative | CFP | Jan 2021 (6y) | |
| Stephen Louis Rudolph | Registered representative | Feb 2021 (5y) | ||
| Jordan Scott Nightingale | Registered representative | CFP | Mar 2021 (5y) | |
| Allison Jean Werden | Registered representative | Apr 2021 (5y) | ||
| Mark David Van Drunen | Registered representative | CFP | Apr 2021 (5y) | |
| Michael Mark Dvorkin | Registered representative | Jun 2021 (5y) | ||
| Matthew William Mathias | Registered representative | Jun 2021 (5y) | ||
| Richard Spencer Beebe | Registered representative | Jun 2021 (5y) | ||
| Joshua Enrique Danforth | Registered representative | CFP | Jul 2021 (5y) | |
| Katerina Larissa Nalywajko | Registered representative | Aug 2021 (5y) | ||
| Michael Anthony Pietzak | Registered representative | Sep 2021 (5y) | ||
| Brendan Lawrence Winkler | Registered representative | Sep 2021 (5y) | ||
| Joseph Nicholas Geier | Registered representative | Personal Financial Specialist | Sep 2021 (5y) | |
| Rafael Julian Perez | Registered representative | CFP | Oct 2021 (5y) | |
| Daniel Woodward Mules | Registered representative | Oct 2021 (5y) | ||
| Kevin J Krakora | Registered representative | Oct 2021 (5y) | ||
| Brian Joseph Woods | Registered representative | Nov 2021 (5y) | ||
| Gregory A Palacorolla | Registered representative | CFP | Nov 2021 (5y) | |
| Christopher Couming Grisanti | Registered representative | CFA | Nov 2021 (5y) | |
| Tyler Wayne Kahler | Registered representative | Nov 2021 (5y) | ||
| Michael Christopher Thomas | Registered representative | CFP | Dec 2021 (5y) | |
| Michael James Williams | Registered representative | CFP CFA | Dec 2021 (5y) | |
| Brandon Richard Phillips | Registered representative | Dec 2021 (5y) | ||
| Kevin James Runge | Registered representative | CFA | Dec 2021 (5y) | |
| Leila Taratus Evans | Registered representative | CFP | Dec 2021 (5y) | |
| Michele V Stutts | Registered representative | CFP | Dec 2021 (5y) | |
| Philip Jeffrey Cole | Registered representative | CFP | Dec 2021 (5y) | |
| Ari Seth Wiener | Registered representative | CFP | Dec 2021 (5y) | |
| Barry Joseph Klarberg | Registered representative | Dec 2021 (5y) | ||
| Jason Andrew Bell | Registered representative | Dec 2021 (5y) | ||
| Joel Leonard Hochman | Registered representative | CFP | Dec 2021 (5y) | |
| Bert Deems May | Registered representative | Dec 2021 (5y) | ||
| Patrick Francis Xavier Gingras | Registered representative | Jan 2022 (5y) | ||
| Aron Max Wegner | Registered representative | Feb 2022 (4y) | ||
| Matthew H Wu | Registered representative | Apr 2022 (4y) | ||
| Bradley Earl Turner | Registered representative | Apr 2022 (4y) | ||
| Ryan Keenan | Registered representative | CFA | May 2022 (4y) | |
| Bradley Stocker Norton | Registered representative | CFA | Jul 2022 (4y) | |
| Mark Quien Haley | Registered representative | Jul 2022 (4y) | ||
| Christopher William Baker | Registered representative | Jul 2022 (4y) | ||
| Kaiwen Liu | Registered representative | CFP | Jul 2022 (4y) | |
| Inna Collins | Registered representative | CFP | Jul 2022 (4y) | |
| David William Shiell | Registered representative | Aug 2022 (4y) | ||
| Joy Arlene Puyear | Registered representative | Aug 2022 (4y) | ||
| Timothy Robert Schmoll | Registered representative | Aug 2022 (4y) | ||
| Drew Nicholas Bryant | Registered representative | CFP Chartered Financial Consultant | Aug 2022 (4y) | |
| Joseph Louis Palko | Registered representative | CFP | Aug 2022 (4y) | |
| Joseph Randall Lum | Registered representative | CFP | Sep 2022 (4y) | |
| Deanna Cilnyk Roeger | Registered representative | Sep 2022 (4y) | ||
| Sheena Dee Pauley | Registered representative | CFP | Sep 2022 (4y) | |
| Dexter L James | Registered representative | Sep 2022 (4y) | ||
| Justin Harrison Bass | Registered representative | Sep 2022 (4y) | ||
| Sean G Kriak | Registered representative | CFP | Sep 2022 (4y) | |
| Keola Jordan Elobt | Registered representative | Nov 2022 (4y) | ||
| Carey Merrill Markoe | Registered representative | CFP | Nov 2022 (4y) | |
| John David Loden | Registered representative | Nov 2022 (4y) | ||
| Lindsay Powell Sawicki | Registered representative | Nov 2022 (4y) | ||
| Katherine Jean Perkner | Registered representative | CFP | Jan 2023 (4y) | |
| Stuart James Ashwood | Registered representative | Jan 2023 (4y) | ||
| Charles Clayton Perry | Registered representative | Jan 2023 (4y) | ||
| Jason Robert Hamilton | Registered representative | Feb 2023 (3y) | ||
| John Patrick Tyrrell | Registered representative | Feb 2023 (3y) | ||
| Katherine A Kelly | Registered representative | Mar 2023 (3y) | ||
| Jacob C. Burnett | Registered representative | CFP | Mar 2023 (3y) | |
| Charles Michael Grimm | Registered representative | CFP | May 2023 (3y) | |
| Brandon Thomas Bleile | Registered representative | May 2023 (3y) | ||
| Joseph A Cooper | Registered representative | May 2023 (3y) | ||
| Glenn Alan Movish | Registered representative | CFP | Aug 2023 (3y) | |
| Timothy Arthur Dempsey | Registered representative | CFP CFA | Dec 2023 (3y) | |
| Michael A Marrapese | Registered representative | CFA | Dec 2023 (3y) | |
| John Knox Witcher | Registered representative | CFA | Jan 2024 (3y) | |
| Bradley Andrew Meeks | Registered representative | CFA | Jan 2024 (3y) | |
| David Michael Niehaus | Registered representative | CFA | Jan 2024 (3y) | |
| Patrick Timothy Mcgrade | Registered representative | Jan 2024 (3y) | ||
| Andrew B Bruns | Registered representative | CFA | Jan 2024 (3y) | |
| James Robert Mcdermott | Registered representative | CFP | Jan 2024 (3y) | |
| Don Gayle Brosz | Registered representative | Jan 2024 (3y) | ||
| Marc Anthony Traverso | Registered representative | Jan 2024 (3y) | ||
| Matthew Lee Adams | Registered representative | Jan 2024 (3y) | ||
| Timothy Allen Chambers | Registered representative | Jan 2024 (3y) | ||
| Mark Alan Roberts | Registered representative | Feb 2024 (2y) | ||
| Michael Brendan Martin | Registered representative | Feb 2024 (2y) | ||
| Jeanne Marie Sands | Registered representative | CFP | Feb 2024 (2y) | |
| Alan Richard Henning | Registered representative | CFA | Feb 2024 (2y) | |
| Anthony Carsel | Registered representative | Feb 2024 (2y) | ||
| Edward Reid Kuresman | Registered representative | CFA | Feb 2024 (2y) | |
| Joseph Clifford Hack | Registered representative | CFP | Feb 2024 (2y) | |
| Joshua Adam Handel | Registered representative | Feb 2024 (2y) | ||
| Robert Karras | Registered representative | CFP Chartered Financial Consultant | Feb 2024 (2y) | |
| Sally Humphrey Dempsey | Registered representative | Feb 2024 (2y) | ||
| Audra Christine Nay | Registered representative | Feb 2024 (2y) | ||
| Michael Robert Reed | Registered representative | CFA | Mar 2024 (2y) | |
| Lance Alden Lipset | Registered representative | CFP | Mar 2024 (2y) | |
| Estelle Jean Zekoff | Registered representative | CFP | Mar 2024 (2y) | |
| Noel Vonuelos | Registered representative | CFP | Mar 2024 (2y) | |
| Jeffrey Elder Wherry | Registered representative | CFP Chartered Financial Consultant | Apr 2024 (2y) | |
| Nicholas James Tancabel | Registered representative | CFP Chartered Financial Consultant | Apr 2024 (2y) | |
| Matthew James Pruitt | Registered representative | CFP | Apr 2024 (2y) | |
| Gregg Cohen | Registered representative | May 2024 (2y) | ||
| Elyse Dolph Foster | Registered representative | CFP | May 2024 (2y) | |
| Jennifer Marlow Baham | Registered representative | CFP | May 2024 (2y) | |
| Joseph Francisco Pantoja | Registered representative | Jun 2024 (2y) | ||
| Andrew Robert Rickard | Registered representative | Chartered Financial Consultant | Jul 2024 (2y) | |
| James Derrick Henry | Registered representative | Jul 2024 (2y) | ||
| Nathan Newman | Registered representative | CFP Chartered Financial Consultant | Jul 2024 (2y) | |
| Grant Osborne | Registered representative | Jul 2024 (2y) | ||
| John Andrew Mitsos | Registered representative | Jul 2024 (2y) | ||
| Shawn Matthew Johnson | Registered representative | Chartered Financial Consultant | Jul 2024 (2y) | |
| Daniel Michael Marolis | Registered representative | Jul 2024 (2y) | ||
| Megan Foster Miller | Registered representative | CFP | Jul 2024 (2y) | |
| Thomas Frank Mirra | Registered representative | Jul 2024 (2y) | ||
| Mark Mccann Spring | Registered representative | Chartered Financial Consultant | Aug 2024 (2y) | |
| Michael Russell Peters | Registered representative | Aug 2024 (2y) | ||
| Daniel Joseph Ambroskiewicz | Registered representative | Aug 2024 (2y) | ||
| John A Adcock | Registered representative | CFP Chartered Financial Consultant | Aug 2024 (2y) | |
| Alexander Doniphan Spiller | Registered representative | CFP | Aug 2024 (2y) | |
| Luka Andrej Matic | Registered representative | CFP | Aug 2024 (2y) | |
| Dylan Schwartz | Registered representative | CFP | Sep 2024 (2y) | |
| Nimita Naik | Registered representative | CFP | Sep 2024 (2y) | |
| Jon Paul Pattinson | Registered representative | Sep 2024 (2y) | ||
| Valerie Lauren Downs | Registered representative | CFP | Sep 2024 (2y) | |
| Aaron Christopher Paolini | Registered representative | Chartered Financial Consultant | Sep 2024 (2y) | |
| Brian Patrick Bolan | Registered representative | Oct 2024 (2y) | ||
| Steven Michael Mathews | Registered representative | CFP | Oct 2024 (2y) | |
| Charles Earl Simms | Registered representative | Oct 2024 (2y) | ||
| Daniel Jon Trumbower | Registered representative | CFP | Oct 2024 (2y) | |
| Kenneth Charles Thomalla | Registered representative | CFP | Oct 2024 (2y) | |
| Kirsty Jane Peev | Registered representative | CFP | Oct 2024 (2y) | |
| Melissa Guevara Sotudeh | Registered representative | CFP | Oct 2024 (2y) | |
| Ted Stephen Halpern | Registered representative | Oct 2024 (2y) | ||
| Jennifer Mary Davis | Registered representative | CFP | Oct 2024 (2y) | |
| John William Peregrim | Registered representative | CFP | Oct 2024 (2y) | |
| Jeffrey Allen Leber | Registered representative | CFP | Nov 2024 (2y) | |
| Vaughn Raye Schill | Registered representative | CFP | Nov 2024 (2y) | |
| Steven Andrew Meegan | Registered representative | CFA | Nov 2024 (2y) | |
| Chandler Ryan Vegel | Registered representative | CFP | Nov 2024 (2y) | |
| Blake Austin Kahn | Registered representative | CFP | Dec 2024 (2y) | |
| Mary Catherine Szabat | Registered representative | CFP | Dec 2024 (2y) | |
| Matthew Lee Bacon | Registered representative | CFP | Dec 2024 (2y) | |
| Phillip Garrett | Registered representative | CFP | Jan 2025 (2y) | |
| James Baxter Bell | Registered representative | CFA | Jan 2025 (2y) | |
| Laura Marie Hickman | Registered representative | Jan 2025 (2y) | ||
| James Howard Stewart | Registered representative | CFP | Jan 2025 (2y) | |
| Kerry Watkins Bradley | Registered representative | CFA | Jan 2025 (2y) | |
| Stewart Alan Mcguire | Registered representative | CFP CFA | Jan 2025 (2y) | |
| Morgan Page Tester | Registered representative | CFP Chartered Financial Consultant | Jan 2025 (2y) | |
| Eric Michael Flett | Registered representative | Jan 2025 (2y) | ||
| Nicole Russo Hanson | Registered representative | CFP | Jan 2025 (2y) | |
| Brandon Gregory Rozanski | Registered representative | Jan 2025 (2y) | ||
| Logan Marcell Frasier | Registered representative | Jan 2025 (2y) | ||
| Dustin Allan Eldridge | Registered representative | CFP | Feb 2025 (1y) | |
| Perry Streett | Registered representative | Feb 2025 (1y) | ||
| David Keith Meador | Registered representative | Feb 2025 (1y) | ||
| James Jonathan Hayes | Registered representative | Apr 2025 (1y) | ||
| Donna Sturgeon Sterwerf | Registered representative | CFP | May 2025 (1y) | |
| Jacob Michael Geglein | Registered representative | May 2025 (1y) | ||
| Ryan Michael Bergen | Registered representative | CFP | Jun 2025 (1y) | |
| Jacob Oney | Registered representative | CFA | Jun 2025 (1y) | |
| Tristan Truman Cooper | Registered representative | Jun 2025 (1y) | ||
| Sarine Chake Zenian | Registered representative | CFP | Jul 2025 (1y) | |
| Paul James Dipalma | Registered representative | Jul 2025 (1y) | ||
| Amanda Walker | Registered representative | CFP | Aug 2025 (1y) | |
| Rafael Orlando Velez | Registered representative | Sep 2025 (1y) | ||
| Cristina Petersen Albright | Registered representative | Sep 2025 (1y) | ||
| Pik Ling Martina Cheung | Registered representative | CFA | Sep 2025 (1y) | |
| Frank William Siegel | Registered representative | Oct 2025 (1y) | ||
| James William Coons | Registered representative | Oct 2025 (1y) | ||
| John Patrick Mccorkle | Registered representative | Oct 2025 (1y) | ||
| Robert John Hoffman | Registered representative | CFA | Oct 2025 (1y) | |
| Keith Michael Blankemeyer | Registered representative | Oct 2025 (1y) | ||
| Donna Lynne Thrane | Registered representative | Personal Financial Specialist | Oct 2025 (1y) | |
| Thomas Jude Riley | Registered representative | Oct 2025 (1y) | ||
| Rebekah Lee Porter | Registered representative | Oct 2025 (1y) | ||
| Ashlyn Taylor Smith | Registered representative | Nov 2025 (1y) | ||
| Michael William Mccort | Registered representative | Nov 2025 (1y) | ||
| Alex Nmn Shahidi | Registered representative | CFP Chartered Financial Consultant CFA | Nov 2025 (1y) | |
| Andrew Douglas Palmer | Registered representative | Nov 2025 (1y) | ||
| Alexander Ray | Registered representative | Nov 2025 (1y) | ||
| Damien Adam Bisserier | Registered representative | Nov 2025 (1y) | ||
| Darell Leonard Krasnoff | Registered representative | Nov 2025 (1y) | ||
| David Chih Hou | Registered representative | Nov 2025 (1y) | ||
| Dillon James Christensen | Registered representative | Nov 2025 (1y) | ||
| Eric Scott Bright | Registered representative | Nov 2025 (1y) | ||
| Elliott James Brack | Registered representative | Nov 2025 (1y) | ||
| Jason Eric Lefton | Registered representative | Nov 2025 (1y) | ||
| Jonathan Blanchard Figlin | Registered representative | CFA | Nov 2025 (1y) | |
| Kareem Amer Hout | Registered representative | CFA | Nov 2025 (1y) | |
| Kim Pfeifer Ip | Registered representative | Nov 2025 (1y) | ||
| Lawrence Scott Abrahams | Registered representative | Nov 2025 (1y) | ||
| Mark Elliott Sear | Registered representative | Nov 2025 (1y) | ||
| Melanie C Jones | Registered representative | Nov 2025 (1y) | ||
| Michael Robert Brimhall | Registered representative | Nov 2025 (1y) | ||
| Monika Hanssen Mugg | Registered representative | CFP | Nov 2025 (1y) | |
| Molly Ann Ciprari | Registered representative | Nov 2025 (1y) | ||
| Nicholas D Ravden | Registered representative | Nov 2025 (1y) | ||
| Nicolas Vidas | Registered representative | CFA | Nov 2025 (1y) | |
| Peter Cherng Tsu Chang | Registered representative | Nov 2025 (1y) | ||
| Phuong Thuy Thi Dinh | Registered representative | Nov 2025 (1y) | ||
| Sergio Michael Villavicencio | Registered representative | Nov 2025 (1y) | ||
| Tania L Gordon | Registered representative | CFP | Nov 2025 (1y) | |
| Tyler Justin Jones | Registered representative | Nov 2025 (1y) | ||
| Zackary John Flodeen | Registered representative | CFP | Nov 2025 (1y) | |
| Daniel J Mccreesh | Registered representative | CFA | Nov 2025 (1y) | |
| Michael Ross Golden | Registered representative | Nov 2025 (1y) | ||
| William Paul Chlan | Registered representative | Personal Financial Specialist | Nov 2025 (1y) | |
| Andrew D Schumont | Registered representative | CFP | Dec 2025 (1y) | |
| Bradley Alan Williams | Registered representative | Dec 2025 (1y) | ||
| James Gregory Sweet | Registered representative | CFP | Dec 2025 (1y) | |
| Gregory Alan Lowe | Registered representative | CFP | Dec 2025 (1y) | |
| David Laurence Kasten | Registered representative | CFP | Dec 2025 (1y) | |
| Harold Alan Lowe | Registered representative | CFP | Dec 2025 (1y) | |
| Jennifer Ann Kutchey | Registered representative | CFP | Dec 2025 (1y) | |
| Joshua Martin Sacks | Registered representative | CFP | Dec 2025 (1y) | |
| John Francis Santry | Registered representative | Jan 2026 (1y) | ||
| Phillip Nguyen Mai | Registered representative | CFP | Jan 2026 (1y) | |
| Daniel Lee Jacobs | Registered representative | Jan 2026 (1y) | ||
| Albert Edward Macdonald | Registered representative | Feb 2026 (0y) | ||
| Nicholas Joseph Miozzi | Registered representative | Chartered Financial Consultant | Feb 2026 (0y) | |
| Lindie Rheeder | Registered representative | Feb 2026 (0y) | ||
| Adam Aldrich | Registered representative | Feb 2026 (0y) | ||
| Ajeya Kukreja | Registered representative | CFP | Feb 2026 (0y) | |
| David Alexander Moreno | Registered representative | Feb 2026 (0y) | ||
| Gary Duane Runnells | Registered representative | Feb 2026 (0y) | ||
| Jeffrey Scott Dore | Registered representative | Feb 2026 (0y) | ||
| Joseph Aron Warsavsky | Registered representative | Feb 2026 (0y) | ||
| Justin Patrick Amrein | Registered representative | Feb 2026 (0y) | ||
| Jonathan Clark Boyack | Registered representative | Feb 2026 (0y) | ||
| Matthew Elliott Sear | Registered representative | Feb 2026 (0y) | ||
| Michael Allen Hatfield | Registered representative | Feb 2026 (0y) | ||
| David Lowell Williams | Registered representative | CFP | Feb 2026 (0y) | |
| Mary Casey O'dell Dixon | Registered representative | CFA | Feb 2026 (0y) | |
| Robert Lewis O'dell | Registered representative | Feb 2026 (0y) | ||
| Jose Ignacio Marques | Registered representative | CFP | Feb 2026 (0y) | |
| David Wayne Lanham | Registered representative | CFP | Mar 2026 (0y) | |
| Patrick Sean Mayberry | Registered representative | CFP CFA | Mar 2026 (0y) | |
| Emily Ruth Johnson | Registered representative | Mar 2026 (0y) | ||
| Hunter Shoemake | Registered representative | CFP | Mar 2026 (0y) | |
| Matthew Alan Jones | Registered representative | Mar 2026 (0y) | ||
| Angela Marie Jamar | Registered representative | Apr 2026 (0y) | ||
| John Robert Beck | Registered representative | CFP | May 2026 (0y) | |
| Evan T Stablein | Registered representative | CFP | May 2026 (0y) | |
| Michael Gregory Selzer | Registered representative | CFP | May 2026 (0y) | |
| Matthew Joseph Wells | Registered representative | CFA | Jun 2026 (0y) | |
| Carley Elizabeth Bohn | Registered representative | Jun 2026 (0y) | ||
| Brian Stephen Sears | Registered representative | Jun 2026 (0y) | ||
| Emmanuel Rodriguez Dela Cerna | Registered representative | CFP | Jun 2026 (0y) | |
| Jeffrey Alan Fritts | Registered representative | Jun 2026 (0y) | ||
| Scott William Phillips | Registered representative | Jun 2026 (0y) | ||
| Justin Mark Luiza | Registered representative | CFP | Jun 2026 (0y) | |
| Stephen Ernest Norton | Registered representative | Jun 2026 (0y) | ||
| Ted Burton | Registered representative | Jun 2026 (0y) | ||
| Gavin Edward Haley | Registered representative | Jul 2026 (0y) | ||
| Kimball E Driggs | Registered representative | Jul 2026 (0y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Mai Capital Management Intermediate Llc | Member | Sep 2021 | A | 75% or more |
| Mai Intermediate Finance Holdings Llc | Member | Sep 2024 | B | ≈ 42.19% – 100% via Mai Finance Holdings Llc |
| Mai Finance Holdings Llc | Member | Sep 2024 | B | ≈ 56.25% – 100% via Mai Capital Management Intermediate Llc |
| Mai Capital Management Investor Llc | Member | Sep 2024 | B | 50% – 75% of Mai Capital Management Holdings Llc (indirect) |
| Mai Capital Management Holdings Llc | Member | Sep 2024 | B | GP / trustee / elected manager of Mai Intermediate Finance Holdings Llc (indirect) |
| Mai Galway Holdings Lp | Member | Sep 2024 | B | GP / trustee / elected manager of Mai Capital Management Investor Llc (indirect) |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Mai Intermediate Finance Holdings Llc: 75% – 100% of Mai Finance Holdings Llc × 75% – 100% of Mai Capital Management Intermediate Llc × 75% – 100% direct ≈ 42.19% – 100% of the firm
- Mai Finance Holdings Llc: 75% – 100% of Mai Capital Management Intermediate Llc × 75% – 100% direct ≈ 56.25% – 100% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Private funds (30, $482M gross assets)
| Fund | Type | Gross assets | Min. investment | Owners |
|---|---|---|---|---|
| Mai Capital Income And Growth Fund V Qp, L.P. | Real Estate Fund | $120M | $100K | 185 |
| Mai Capital Gp Staking Fund Lp | Private Equity Fund | $85.9M | $125K | 447 |
| Mai Diversified Real Estate Income Fund, L.P. | Real Estate Fund | $50.5M | $250K | 101 |
| Mai Capital Income And Growth Fund Iv, L.P. | Real Estate Fund | $42.6M | $100K | 89 |
| Mai Glade Brook Venture Fund Lp | Real Estate Fund | $26.2M | $100K | 146 |
| Mai Diversified Real Estate Income Fund Ii, L.P. | Real Estate Fund | $24.3M | $250K | 77 |
| Mai Diversified Real Estate Income Fund Iii | Real Estate Fund | $21.0M | $100K | 67 |
| Mai Capital Income And Growth Fund Vi, Qp | Real Estate Fund | $20.8M | $500K | 487 |
| Mai Capital Income And Growth Fund Iii, Lp | Real Estate Fund | $18.7M | $250K | 47 |
| Mai Lending Fund, L.P. | Private Equity Fund | $15.2M | $50.0K | 69 |
| Mai Capital Income And Growth Fund V Qc, L.P. | Real Estate Fund | $13.7M | $100K | 70 |
| Mai Solamere Private Equity Fund Lp | Private Equity Fund | $9.1M | $150K | 75 |
| Mai Opportunity Fund, Lp | Private Equity Fund | $8.5M | $250K | 60 |
| Hartwell Capital Partners Lp | Hedge Fund | $4.8M | $1.0M | 6 |
| Intersect Ventures Vi Llc | Private Equity Fund | $4.7M | $100K | 16 |
| Intersect Ventures I Llc | Private Equity Fund | $2.6M | $100K | 8 |
| Intersect Ventures Xi Llc | Private Equity Fund | $2.6M | $150K | 11 |
| Intersect Ventures Vii Llc | Private Equity Fund | $1.9M | $75.0K | 17 |
| Intersect Ventures Ix Llc | Private Equity Fund | $1.5M | $4.0K | 38 |
| Intersect Ventures Ii Llc | Private Equity Fund | $1.2M | $25.0K | 8 |
| Mai Wealth Private Equity Fund, L.P. | Private Equity Fund | $1.0M | $100K | 14 |
| Intersect Ventures V Llc | Private Equity Fund | $1.0M | $5.0K | 23 |
| Intersect Ventures Iii Llc | Private Equity Fund | $894K | $10.0K | 18 |
| Mai Capital Income And Growth Fund Ii, L.P. | Real Estate Fund | $783K | $100K | 104 |
| Intersect Ventures Iv Llc | Private Equity Fund | $586K | $5.0K | 15 |
Top 25 of 30 funds by gross assets · all funds
From Form ADV Section 7.B private fund reporting.
Retirement plans served (30)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Proficient Auto, Inc. Dba Proficient Auto Transport 401(k) Profit Sharing Plan | Proficient Auto, Inc. Dba Proficient Auto Transport | 99 | $3.1M | 07/01/2024 |
| 403(b) Thrift Plan Of Jewish Family & Community Services, Inc. | Jewish Family & Community Services, Inc. | 243 | $2.9M | 07/01/2024 |
| J. B. Coxwell Contracting, Inc. 401(k) Plan And Trust | J.B. Coxwell Contracting, Inc. | 291 | $17.8M | 01/01/2024 |
| Arkana Laboratories Retirement Plan | Nephropathology Associates Plc D/B/A Arkana Laboratories | 197 | $19.4M | 01/01/2024 |
| Fps 401(k) Plan | Florida Physician Specialists, Llc. | 176 | $27.0M | 01/01/2024 |
| Jacksonville Zoo Retirement Plan | Jacksonville Zoological Society, Inc. | 283 | $11.4M | 01/01/2024 |
| Guardian Fueling Technologies, Llc 401(k) Plan | Guardian Fueling Technologies Llc | 677 | $26.7M | 01/01/2024 |
| Goodwill Industries Of North Florida Retirement Savings Plan | Goodwill Industries Of North Florida, Inc. | 835 | $3.5M | 01/01/2024 |
| Quatrro Fpo Solutions Llc 401(k) Plan | Quatrro Fpo Solutions, Llc | 200 | $12.6M | 01/01/2024 |
| Sidley Austin Llp Savings And Investment Plan | Sidley Austin Llp | 3,442 | $1.9B | 01/01/2024 |
| Engineering Systems Inc. Profit Sharing And Savings Plan | Engineering Systems Inc | 454 | $90.0M | 01/01/2024 |
| Outcomes 401(k) Profit Sharing Plan | Outcomes One, Inc | 705 | $39.8M | 01/01/2024 |
| Southeast Unloading, Llc 401(k) Plan | Southeast Unloading, Llc | 306 | $3.7M | 01/01/2024 |
| The Csi Companies, Inc. 401(k) Profit Sharing Plan And Trust | The Csi Companies, Inc. | 1,959 | $24.6M | 01/01/2024 |
| Total Warehouse, Inc. 401(k) Plan | Total Warehouse, Inc. | 128 | $3.9M | 01/01/2024 |
| Mapbox 401(k) Plan | Mapbox | 249 | $41.6M | 01/01/2024 |
| Taft Stettinius & Hollister Llp Thrift Savings & Retirement Plan | Taft Stettinius & Hollister Llp | 1,468 | $849M | 01/01/2024 |
| Designatronics, Incorporated 401(k) Plan | Designatronics, Incorporated | 180 | $14.5M | 01/01/2024 |
| Tribeca Pediatrics Pllc 401(k) Plan | Tribeca Pediatrics Pllc | 361 | $19.5M | 01/01/2024 |
| Cytosorbents Medical 401(k) Plan | Cytosorbents Medical, Inc. | 71 | $7.3M | 01/01/2024 |
| American Electrical Contracting, Inc. 401(k) Plan | American Electrical Contracting, Inc. | 140 | $3.2M | 01/01/2024 |
| Southwest Airlines Pilots Retirement Savings Plan | Southwest Airlines Company | 11,679 | $11.6B | 01/01/2024 |
| Mecklenburg Radiology Associates, P.A. Profit Sharing Plan | Mecklenburg Radiology Associates, P.A. | 128 | $93.3M | 01/01/2024 |
| Poy Holdings Llc 401(k) Savings Plan | Poy Holdings Llc | 800 | $15.8M | 01/01/2024 |
| Tucker Ellis Llp Retirement Savings Plan | Tucker Ellis Llp | 300 | $129M | 01/01/2024 |
Top 25 of 30 plans by assets.
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 07/02/2026 | 8.66 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
- • Performance-based fees
- • Other fees
- • PERCENTAGE OF NON-INVESTMENT INCOME
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for investment companies
- • Portfolio management for pooled investment vehicles
- • Portfolio management for businesses/institutional clients
- • Pension consulting services
- • Selection of other advisers
- • Other services
Custody
Reported custodians
- Fidelity Brokerage Services $16.8B (32% of AUM) Jul 2026
- Charles Schwab & Co. $15.4B (30% of AUM) Jul 2026
- National Financial Services (Fidelity) $3.6B (80% of AUM) Dec 2019
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Jul 02, 2026.
View current Form ADV (SEC/IAPD) ↗