← Tributary

FIRST AND MAIN FINANCIAL

· CRD 121359 · IAPD ↗ · wolfersam.com · (510) 601-1935

$165.3MRegulatory AUM
3Advisory reps
4Employees
10Clients
1-10Planning clients
0Private funds
1States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

95
March 2025 — FIRST AND MAIN FINANCIAL (location n/a) is newly SEC-registered with $142.3M RAUM and 3 advisory reps.
Firm appears on the SEC roster for the first time (new RIA or state-to-SEC transition).
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.