A. Organization We have been in business since 2018. Our two partners are Dixon Karmindro, Managing Partner/Principal/Chief Compliance Officer and Kyongjin “Jin” Lee, Partner. B. Advisory Services We are a full-service wealth management firm that provides comprehensive financial planning services and manages clients’ investment portfolios across a variety of model and customized strategies. Portfolio Management Mainstream Capital manages clients’ securities portfolios on a discretionary basis. Although not an all- encompassing list, we typically manage the following types of assets:
• Equity securities, including stocks and foreign securities listed on US exchanges (ADRs) or foreign exchanges (ordinaries)
• Fixed income securities, including corporate and government bonds, securities with equity and debt characteristics, including convertible bonds, preferred stocks or other preferred securities
• Municipal securities
• Mutual funds and exchange traded funds (ETFs)
• Closed-end funds
• U.S. government securities
• Money market funds and cash
• Real estate investment trusts (REIT)
• Master limited partnerships (MLPs)
• Private investments Financial Planning Financial planning may include advice that addresses one or more areas of a client's financial situation, such as estate planning, risk management, budgeting and cash flow controls, retirement planning, education funding, and investment portfolio design. Depending on a client’s particular situation, financial planning will generally include some or all of the following, as applicable:
• Preparation of an annual net worth statement
• Create a cash flow statement
• Review current investments and make recommendations
• Review client’s most recent tax returns and provide tax planning advice

or tax preparation services
• Review client’s life insurance and disability insurance and make recommendations
• Review client’s estate plan and make recommendations
• Complete a retirement analysis
• Provide education planning advice Once financial planning advice is given, the client may choose to have Mainstream Capital implement the client’s financial plan and manage the investment portfolio on an ongoing basis. However, the client is under no obligation to act upon any of the recommendations made by Mainstream Capital under a financial planning engagement. Combined Services Mainstream Capital offers to provide combined financial planning and investment management services, which may generally include some of the same described items under Financial Planning above, and also the discretionary investment services described under Portfolio Management applied towards the client’s plan for one combined assets under management fee. All services are covered by an advisory or financial planning agreement. When a copy of this Brochure is not provided to a client at least 48 hours prior to signing an agreement for services, the client has five (5) business days in which to cancel the agreement without penalty. C. Specific Client Needs and Restrictions We provide customized portfolio management services to our clients. If you have particular investment restrictions that you would like us to adhere to, we will generally accept the assignment (subject to minimum account values) as long as the restrictions do not hinder our ability to properly manage the account to the applicable strategy. D. Wrap Fee Programs We do not participate in wrap fee programs. E. Assets Under Management As of December 31, 2023, our assets under management totaled $191,721,897. All of the disclosed assets are discretionary assets under management.