Inactive

James Maxwell

Main Management, LLC

San Francisco, CA

CRD 7756737

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Employer firm

Main Management, LLC CRD 120361

$1.90B regulatory AUM 15 advisory clients

Reported services (Item 5G)

Portfolio management (individuals)
Portfolio management (pooled vehicles)
Portfolio management (institutions)

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

Current Employers

Main Management, Llc

601 California Street Suite 300, San Francisco, CA 94108 • United States

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2023-06-26

CA RA
APPROVED

Since 2023-06-26

Branch Locations

601 California Street Suite 300, San Francisco, CA 94108 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Ripple	San Francisco	CA	07/2018	09/2018
Santa Clara University	Santa Clara	CA	09/2018	07/2020
Main Management Llc	San Francisco	CA	07/2020	09/2020
Santa Clara University	Santa Clara	CA	09/2020	06/2022
Main Management Llc	San Francisco	CA	06/2022	Present
The Branson School	Ross	CA	09/2014	06/2018

07/2018 → 09/2018

Ripple

San Francisco, CA
09/2018 → 07/2020

Santa Clara University

Santa Clara, CA
07/2020 → 09/2020

Main Management Llc

San Francisco, CA
09/2020 → 06/2022

Santa Clara University

Santa Clara, CA
06/2022 → Present

Main Management Llc

San Francisco, CA
09/2014 → 06/2018

The Branson School

Ross, CA

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2023-06-26

S65 Uniform Investment Adviser Law Examination

2023-06-26

View on SEC IAPD

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