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1 MAIN CAPITAL MANAGEMENT, LLC

AVENTURA, FL · CRD 328626 · IAPD ↗ · 1maincapital.com · 305-710-8509

$118.7MRegulatory AUM
2Advisory reps
2Employees
0Clients
n/aPlanning clients
1Private funds
2States
0Disclosures
fundSegment
ApprovedSEC status

Filing changes

27
October 2026 — 1 MAIN CAPITAL MANAGEMENT, LLC notice-filed in FL.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
30
October 2026 — 1 MAIN CAPITAL MANAGEMENT, LLC moved its main office from WESTPORT, CT to AVENTURA, FL.
Main office moved to a different city or state.
Office IT & facilitiesMarketing & brand
49
October 2026 — 1 MAIN CAPITAL MANAGEMENT, LLC reported RAUM up 47% ($80.5M -> $118.7M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
80
July 2026 — 1 MAIN CAPITAL MANAGEMENT, LLC (WESTPORT, CT) is newly SEC-registered with $80.5M RAUM and 2 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.