Mainline Private Wealth, LLC (Wynnewood)


Mainline Private Wealth, LLC is a large advisory firm based in Wynnewood. It manages $560.91 million of regulatory assets for 471 client accounts. It has been registered with the SEC as an adviser since 2011 and has operated in the jurisdictions of Arizona, California, Connecticut, and 14 other states.

Mainline Private Wealth provides financial planning services, portfolio management for individuals and small businesses, portfolio management for businesses and institutional clients, pension consulting services, selection of other advisers, educational seminars and workshops, and consulting. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Mainline Private Wealth: assets under management

The assets under management (AUM) of Mainline Private Wealth, LLC is $560.91 million. The firm's AUM has grown by 501% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $430.64 million in discretionary accounts and $130.27 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $1.69 million each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $603.1 thousand.
Mainline Private Wealth has custody of $281.02 million in cash and securities for 45 clients in total but doesn’t act as a qualified custodian.

Investments

The firm invests in exchange traded securities the most. They account for 66% of the total AUM. The second-largest asset type is pooled investment vehicles, which make up 14% of the firm’s portfolio. Investments in cash and cash equivalents form 10% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Mainline Private Wealth, LLC for their services and products based on a percentage of assets under management and fixed fees. Flat-fee based compensation is the most transparent and the one you can safely predict in advance. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Mainline Private Wealth serves?

The firm provides services to individuals and high net worth individuals. The largest group of clients of Mainline Private Wealth is high net worth individuals with 44 clients and $541.42 million of assets under management. Among the 8 most similar advisory firms, Mainline Private Wealth has the 2nd highest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $555.97 million for 93 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

Mainline Private Wealth doesn't advise any private funds.

Careers at Mainline Private Wealth, LLC

The company employs 11 people that are either part- or full-time employees. 100 percent of the employees work as investment advisers or researchers. 5 employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm compensates employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Direct owners and executive officers


Name Entity Date acquired Ownership Employer ID
Llc Mainline Investment Partners Owner 1 Oct 2011 75% - 100% 45-2845118
William Alan Landman Manager 1 Oct 2011 Other 4342118
Richard Alan Mitchell General counsel, vice president and secretary 1 Oct 2011 Other 2079522
David Andrew Clapper Vice president, assistant secretary 1 Oct 2011 Other 5644079
Gary Paul Droz Vice president and assistant secretary, managing director 1 Oct 2011 Other 1081511
Paul Silberberg Vice president 1 Oct 2011 Other 1014371
Morey Herbert Goldberg Vice president 1 Oct 2011 Other 1741133
Mark I Solomon Vice president 1 Oct 2011 Other 1014516
David Saul Turbiner Vice president 1 Nov 2011 Other 5316506
Donna Marie Rittershausen Chief compliance officer 1 Jan 2012 Other 1480201
Paul Silberberg Member 1 Jun 2013 Other 1014371
Morey Herbert Goldberg Member 1 Jun 2013 Other 1741133
John Tucker Adams Cfo, treasurer, vice president 1 Dec 2014 Other 6339922

Based in Wynnewood

The principal office where Mainline Private Wealth, LLC performs its advisory services is located at 308 E. Lancaster Avenue, Wynnewood, PA 19096, which is also the mailing address of the firm. An additional office of the firm is in Pittsburgh, PA. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 610-896-2050 or by fax 610-896-3410. The normal business hours are 8:30 am to 5:00 pm on Monday - Friday. You can find more information about the New York firm at mainlineco.com.