Disclosures

Last updated: June 2026

Investment adviser registration

Main Management, LLC is an investment adviser registered with the U.S. Securities and Exchange Commission (SEC), CRD #120361. Registration with the SEC does not imply a certain level of skill or training. Additional information about the firm, including its Form ADV and Client Relationship Summary (Form CRS), is available on the SEC’s Investment Adviser Public Disclosure website at adviserinfo.sec.gov and on our Form ADV page.

No offer; no investment advice

The information on this website is provided for general informational purposes only. It does not constitute investment, legal, or tax advice, nor a recommendation to buy or sell any security or to adopt any investment strategy, and it is not an offer or solicitation in any jurisdiction where such an offer or solicitation would be unlawful. Investment decisions should be made only after consultation with your own advisers and in light of your particular circumstances.

Risk of loss

All investing involves risk, including the possible loss of principal. There is no guarantee that any strategy or investment objective will be achieved. Diversification does not ensure a profit or protect against loss.

Past performance and forward-looking statements

Past performance is not indicative of, and does not guarantee, future results. Any statements about future expectations, market conditions, or strategy positioning are forward-looking, reflect our views as of the date made, and are subject to change without notice. Actual results may differ materially.

Strategies and options

Our model strategies invest predominantly in exchange-traded funds (ETFs), and certain strategies use covered-call options to manage volatility. Options involve risks and are not suitable for all investors; the use of options may limit upside participation and does not eliminate the risk of loss.

Conflicts of interest

We and our affiliates manage funds and ETFs that we may use in client portfolios. Where a client’s account is invested in an affiliated fund or ETF, we do not charge an advisory fee on that portion of the account; the fund’s own fees, disclosed in its prospectus, still apply. Our personnel may buy and sell some of the same securities held in client accounts, subject to our code of ethics. Additional conflicts and the ways we address them are described in our Form ADV Part 2A (Item 11), available at adviserinfo.sec.gov.

Third-party links and ETFs

This site may link to third-party websites, including the Main Management ETFs site, for your convenience. We are not responsible for the content of third-party sites. Information about the Main Management ETFs is offered only by prospectus; please read it carefully before investing. The ETFs are distributed by Northern Lights Distributors, LLC, which is not affiliated with Main Management, LLC.

Contact

Questions about these disclosures may be directed to info@mainmgt.com or 415-217-5800.