Rochester, NY Office
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
First Main Capital
Independent
Firm-wide stats for First Main Capital
About
First Main Capital is a very small independent registered investment adviser that provides financial planning and discretionary portfolio management primarily for individual and family clients. The firm bills on a percentage‑of‑assets‑under‑management basis for integrated planning and investment services, a common arrangement among independent advisers.
Investment strategies emphasize ETF-based portfolios with an academic, factor-oriented equity approach (highlighting company size and valuation) and diversified fixed‑income/alternative allocations intended to reduce volatility. Accounts are monitored daily, use a formal 10‑year cash‑needs analysis in suitability determinations, and the firm will incorporate held‑away assets into clients’ overall asset allocation when requested.
What distinguishes the firm from many peers is its scale and owner oversight: it operates with one adviser, four clients, and approximately $1.43 million in reported AUM, with the principal directly supervising all reviews. The brochure also discloses a prior Chapter 7 bankruptcy filing by the principal (discharged in 2016), identifies Altruist Financial as the custodian (with potential soft‑dollar/research benefits), and notes that the firm does not vote client proxies, leaving proxy notices to custodians.
Based on First Main Capital
Expertise
Based on First Main Capital
Location
100 S Clinton Ave, 24th Floor
Rochester NY 14604
Advisors at this office
1
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