Mainline West Fund Manager LLC (Denver)

Name: Mainline West Fund Manager LLC
Address: 700 17 Th Street, Denver, CO, 80202 3501
Telephone: 720-536-3380

Mainline West Fund Manager LLC is a large advisory firm based in Denver. It manages $1.08 billion of regulatory assets for 83 client accounts. It has been registered with the SEC as an adviser since 2008 and has operated in the jurisdictions of California, Colorado, Delaware, and 8 other states.

Mainline West Fund Manager provides portfolio management for individuals and small businesses and portfolio management for pooled investment vehicles. 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 West Fund Manager: assets under management

The assets under management (AUM) of Mainline West Fund Manager LLC is $1.08 billion, all of which is managed in discretionary accounts. The firm's AUM has grown by 7170% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $1.08 billion in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $12.97 million each.

Mainline West Fund Manager has custody of $705.55 million in cash and securities for 4 clients in total but doesn’t act as a qualified custodian.

Investments

The firm invests in state and local bonds the most. They account for 100% of the total AUM.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Mainline West Fund Manager LLC for their services and products based on a percentage of assets under management and performance-based fees. The adviser charges an additional fee when a set benchmark is outperformed. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Mainline West Fund Manager serves?

The firm provides services to high net worth individuals and pooled investment vehicles. The largest group of clients of Mainline West Fund Manager is pooled investment vehicles with 4 clients and $705.55 million of assets under management. Among the 6 most similar advisory firms, Mainline West Fund Manager has the 3rd highest percentage of pooled investment vehicles out of all clients.

The amount of regulatory assets under management is $1.08 billion for 83 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 West Fund Manager also advises several private funds. Namely, four other private funds. The minimum investment commitment required of non-related persons ranges from $100,000 to $1,000,000.

Careers at Mainline West Fund Manager LLC

The company employs 5 people that are either part- or full-time employees. 40 percent of the employees work as investment advisers or researchers. No employees are registered as investment adviser representatives with the state securities authorities.

There’s a single person with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate 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
Mainline West Llc	Sole member	1 Jan 2008	75% - 100%	26-1488786
Bradley James Kreidle	Ceo	1 Jan 2008	Other	1755310
Roger Seymour Dalen	Chief compliance officer	1 Jan 2008	Other	60077
Michael Carl Maciolek	Senior vice president	1 Mar 2008	Other	1931206
Paul Wilhelm Dannenhauer	Senior vice president	1 Jul 2009	Other	2126188
Anthony Scott Caselli	Chief financial officer	1 Jan 2017	Other	6518684

Indirect Owners

The SEC currently registers 2 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Mainline Capital Llc	Member	1 Jan 2008	75% - 100%	20-4846912
Inc. Cms Affiliated Jv	Member	1 Jan 2008	25% - 50%	26-1871087

Based in Denver

The principal office where Mainline West Fund Manager LLC performs its advisory services is located at 700 17 Th Street, Denver, CO 80202 3501, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 720-536-3380 or by fax 303-531-8260. The normal business hours are 7:00 am to 3:00 pm on Monday - Friday. You can find more information about the New York firm at mainlinewest.net.