Phillip Nguyen Mai

Employer firm

Mai Capital Management, LLC CRD 109807

$52.1B regulatory AUM 132 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (investment companies)
• Portfolio management (pooled vehicles)
• Portfolio management (institutions)
• Pension consulting

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 05/2015 → 07/2022
  The Ayco Company, L.P./Mercer Allied
  Irvine, CA
• 07/2022 → 01/2026
  Mariner Wealth Advisors
  Newport Beach, CA
• 09/2017 → 06/2022
  Bank Of America
  Newport Beach, CA
• 01/2026 → Present
  Mai Capital Management, Llc.
  Cleveland, OH

Previous Registrations

• 2022-07-19 → 2026-01-15
  Mariner
  Newport Beach, CA

Other Businesses

XLNC Properties, LLC, investment-related: N, Santa Ana, CA, property management company, Co-Owner, Oct 01, 2023; 8 hr/month; 0 hrs/month during trading hours, property management for rental properties.

Designations

• Certified Financial Planner