Assets under management Growth by Quarter
Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.
Total AUM
Total Accounts
10Y AUM Change
Private Funds
Private funds reported by Mai Capital Management, LLC
Loading private fund disclosures…
Employee Growth by Quarter
Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.
Total Employees
Clients per Employee
10Y Employee Change
Historical AUM and employee figures reflect available SEC Form ADV filings under this CRD. Filing gaps may reflect registration status changes, dormant periods, state registration periods, firm restructuring, or other reporting changes. Rialytix does not interpolate missing periods.
Current profile metrics reflect a newer SEC ADV filing than the latest point shown in the historical chart. The chart will update once that filing is added to the ADV history dataset.
Ownership
Reported direct and indirect ownership ranges
Each range applies to a separate reported relationship and should not be added together.
Reported ownership ranges
Highlighted bands show the percentage range reported in Form ADV.
0%25%50%75%100%
MAI CAPITAL MANAGEMENT INTERMEDIATE LLCDirect owner · Schedule AInterest in MAI CAPITAL MANAGEMENT, LLC
75%+
JAMES D. KACICDirect owner · Schedule AInterest in MAI CAPITAL MANAGEMENT, LLC
< 5%
JOHN DANIEL ZALLERDirect owner · Schedule AInterest in MAI CAPITAL MANAGEMENT, LLC
< 5%
KURT DAVID NYEDirect owner · Schedule AInterest in MAI CAPITAL MANAGEMENT, LLC
< 5%
JOSEPH R. MCLEANDirect owner · Schedule AInterest in MAI CAPITAL MANAGEMENT, LLC
< 5%
ALBERT EDWARD MACDONALDDirect owner · Schedule AInterest in MAI CAPITAL MANAGEMENT, LLC
< 5%
DAVID CHIH HOUDirect owner · Schedule AInterest in MAI CAPITAL MANAGEMENT, LLC
< 5%
JANE FRANCES EAGLEDirect owner · Schedule AInterest in MAI CAPITAL MANAGEMENT, LLC
< 5%
JAY DAVID SANDERSDirect owner · Schedule AInterest in MAI CAPITAL MANAGEMENT, LLC
< 5%
Amy Grieve BradyDirect owner · Schedule AInterest in MAI CAPITAL MANAGEMENT, LLC
< 5%
MAI INTERMEDIATE FINANCE HOLDINGS LLCIndirect owner · Schedule BInterest in MAI FINANCE HOLDINGS LLC
75%+
MAI FINANCE HOLDINGS LLCIndirect owner · Schedule BInterest in MAI CAPITAL MANAGEMENT INTERMEDIATE LLC
75%+
RUNWAY ACQUISITION INCIndirect owner · Schedule BInterest in MAI CAPITAL MANAGEMENT HOLDINGS LLC
75%+
RUNWAY ACQUISITION INTERMEDIATE INCIndirect owner · Schedule BInterest in RUNWAY ACQUISITION INC
75%+
RUNWAY ACQUISITION HOLDINGS LLCIndirect owner · Schedule BInterest in RUNWAY ACQUISITION INTERMEDIATE INC
75%+
RUNWAY HOLDINGS TOPCO LPIndirect owner · Schedule BInterest in RUNWAY ACQUISITION HOLDINGS LLC
75%+
CARLYLE PARTNERS VIII HOLDINGS VI, LPIndirect owner · Schedule BInterest in RUNWAY HOLDINGS TOPCO LP
50% to < 75%
RUNWAY ROLLOVER AGGREGATOR LLCIndirect owner · Schedule BInterest in RUNWAY HOLDINGS TOPCO LP
25% to < 50%
CARLYLE PARTNERS VIII LPIndirect owner · Schedule BInterest in CARLYLE PARTNERS VIII HOLDINGS VI, LP
25% to < 50%
CARLYLE RUNWAY COINVESTMENT LPIndirect owner · Schedule BInterest in CARLYLE PARTNERS VIII HOLDINGS VI, LP
25% to < 50%
Bars represent the reported range at that individual ownership step, not an estimated percentage of the advisory firm. Indirect relationships may refer to intermediate entities rather than directly to Mai Capital Management, LLC.
Reported ownership and control details
Form ADV · Filing date 2026-10-01 · Schedules A and B
| # | Owner / person & role | Interest in entity | Reported interest | Control person | Title / status acquired | Source |
|---|---|---|---|---|---|---|
| 1 | RICHARD JAMES BUONCORECHAIRMAN & CHIEF EXECUTIVE OFFICERIndividual | MAI CAPITAL MANAGEMENT, LLC | Less than 5%Code NA | Yes | CHAIRMAN & CHIEF EXECUTIVE OFFICER01/2026 | Schedule APDF page 221 |
| 2 | JAMES D. KACICMANAGING PARTNER AND CHIEF OPERATING OFFICERIndividual | MAI CAPITAL MANAGEMENT, LLC | Less than 5%Code NA | Yes | MANAGING PARTNER AND CHIEF OPERATING OFFICER09/2024 | Schedule APDF page 221 |
| 3 | JOHN DANIEL ZALLERMANAGING PARTNERIndividual | MAI CAPITAL MANAGEMENT, LLC | Less than 5%Code NA | Yes | MANAGING PARTNER09/2024 | Schedule APDF page 221 |
| 4 | MAI CAPITAL MANAGEMENT INTERMEDIATE LLCMEMBERDomestic entity | MAI CAPITAL MANAGEMENT, LLC | 75% or moreCode E | Yes | MEMBER09/2021 | Schedule APDF page 221 |
| 5 | MARK JONATHAN HAPPECHIEF COMPLIANCE OFFICERIndividual | MAI CAPITAL MANAGEMENT, LLC | Less than 5%Code NA | Yes | CHIEF COMPLIANCE OFFICER08/2023 | Schedule APDF page 221 |
| 6 | LESLIE DROCKTONGENERAL COUNSELIndividual | MAI CAPITAL MANAGEMENT, LLC | Less than 5%Code NA | Yes | GENERAL COUNSEL06/2023 | Schedule APDF page 221 |
| 7 | KURT DAVID NYEMANAGING PARTNER & CHIEF INVESTMENT OFFICERIndividual | MAI CAPITAL MANAGEMENT, LLC | Less than 5%Code NA | Yes | MANAGING PARTNER & CHIEF INVESTMENT OFFICER09/2024 | Schedule APDF page 221 |
| 8 | JOSEPH R. MCLEANMANAGING PARTNERIndividual | MAI CAPITAL MANAGEMENT, LLC | Less than 5%Code NA | Yes | MANAGING PARTNER09/2024 | Schedule APDF page 221 |
| 9 | PHILIP NOFTSINGERCHIEF FINANCIAL OFFICERIndividual | MAI CAPITAL MANAGEMENT, LLC | Less than 5%Code NA | Yes | CHIEF FINANCIAL OFFICER09/2024 | Schedule APDF page 221 |
| 10 | ALBERT EDWARD MACDONALDMANAGING PARTNERIndividual | MAI CAPITAL MANAGEMENT, LLC | Less than 5%Code NA | Yes | MANAGING PARTNER10/2025 | Schedule APDF page 221 |
| 11 | DAVID CHIH HOUMANAGING PARTNERIndividual | MAI CAPITAL MANAGEMENT, LLC | Less than 5%Code NA | Yes | MANAGING PARTNER11/2025 | Schedule APDF page 221 |
| 12 | JANE FRANCES EAGLEMANAGING PARTNERIndividual | MAI CAPITAL MANAGEMENT, LLC | Less than 5%Code NA | Yes | MANAGING PARTNER11/2025 | Schedule APDF page 221 |
| 13 | JAY DAVID SANDERSMANAGING PARTNERIndividual | MAI CAPITAL MANAGEMENT, LLC | Less than 5%Code NA | Yes | MANAGING PARTNER11/2025 | Schedule APDF page 221 |
| 14 | Amy Grieve BradyMANAGING PARTNERIndividual | MAI CAPITAL MANAGEMENT, LLC | Less than 5%Code NA | Yes | MANAGING PARTNER09/2026 | Schedule APDF page 221 |
| 15 | MAI CAPITAL MANAGEMENT HOLDINGS LLCMEMBERDomestic entity | MAI INTERMEDIATE FINANCE HOLDINGS LLC | Percentage not specifiedCode F | Yes | MEMBER09/2024 | Schedule BPDF page 221 |
| 16 | MAI INTERMEDIATE FINANCE HOLDINGS LLCMEMBERDomestic entity | MAI FINANCE HOLDINGS LLC | 75% or moreCode E | Yes | MEMBER09/2024 | Schedule BPDF page 221 |
| 17 | MAI FINANCE HOLDINGS LLCMEMBERDomestic entity | MAI CAPITAL MANAGEMENT INTERMEDIATE LLC | 75% or moreCode E | Yes | MEMBER09/2024 | Schedule BPDF page 221 |
| 18 | RUNWAY ACQUISITION INCSHAREHOLDERDomestic entity | MAI CAPITAL MANAGEMENT HOLDINGS LLC | 75% or moreCode E | Yes | SHAREHOLDER06/2026 | Schedule BPDF page 222 |
| 19 | RUNWAY ACQUISITION INTERMEDIATE INCSHAREHOLDERDomestic entity | RUNWAY ACQUISITION INC | 75% or moreCode E | Yes | SHAREHOLDER06/2026 | Schedule BPDF page 222 |
| 20 | RUNWAY ACQUISITION HOLDINGS LLCMEMBERDomestic entity | RUNWAY ACQUISITION INTERMEDIATE INC | 75% or moreCode E | Yes | MEMBER06/2026 | Schedule BPDF page 222 |
| 21 | RUNWAY HOLDINGS TOPCO LPMEMBERDomestic entity | RUNWAY ACQUISITION HOLDINGS LLC | 75% or moreCode E | Yes | MEMBER06/2026 | Schedule BPDF page 222 |
| 22 | RUNWAY ROLLOVER AGGREGATOR LLCMEMBERDomestic entity | RUNWAY HOLDINGS TOPCO LP | 25% to less than 50%Code C | Yes | MEMBER06/2026 | Schedule BPDF page 222 |
| 23 | CARLYLE PARTNERS VIII HOLDINGS VI, LPMEMBERDomestic entity | RUNWAY HOLDINGS TOPCO LP | 50% to less than 75%Code D | Yes | MEMBER06/2026 | Schedule BPDF page 222 |
| 24 | CARLYLE PARTNERS VIII LPMEMBERDomestic entity | CARLYLE PARTNERS VIII HOLDINGS VI, LP | 25% to less than 50%Code C | Yes | MEMBER06/2026 | Schedule BPDF page 222 |
| 25 | CARLYLE RUNWAY COINVESTMENT LPMEMBERDomestic entity | CARLYLE PARTNERS VIII HOLDINGS VI, LP | 25% to less than 50%Code C | Yes | MEMBER06/2026 | Schedule BPDF page 222 |
Less than 5% may include zero. Code F identifies a role without specifying a percentage. Reported interests may overlap and may not include every owner. Total indirect ownership is not calculated.
Compliance & Disclosures
Filing dated 10/1/2026 5:14:40 PM
Responses were selected by the RIA in its filing. Questions are shortened for readability; “you” refers to the reporting firm, and some questions also cover advisory affiliates.
RIA or supervised-person involvementThe RIA reported that none of the events below involve the firm or its supervised persons.RIA responseNo
AFelonies2 No
In the past ten years, have you or any advisory affiliate:
- A1Been convicted of or pleaded guilty or no contest to a felony?No
- A2Been charged with a felony?No
BMisdemeanors2 No
In the past ten years, have you or any advisory affiliate:
- B1Been convicted of or pleaded guilty or no contest to a misdemeanor involving investments, an investment-related business, fraud, false statements or omissions, wrongful taking of property, bribery, perjury, forgery, counterfeiting, or extortion?No
- B2Been charged with a misdemeanor of the kind listed above?No
CSEC or CFTC actions5 No
Has the SEC or CFTC ever:
- C1Found you or an advisory affiliate made a false statement or omission?No
- C2Found you or an advisory affiliate violated SEC or CFTC regulations or statutes?No
- C3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
- C4Entered an order against you or an advisory affiliate in connection with investment-related activity?No
- C5Imposed a civil money penalty on you or an advisory affiliate, or ordered you or an advisory affiliate to cease and desist from any activity?No
DOther regulatory actions5 No
Has any other federal regulatory agency, state regulatory agency, or foreign financial regulatory authority ever:
- D1Found you or an advisory affiliate made a false statement or omission, or was dishonest, unfair, or unethical?No
- D2Found you or an advisory affiliate violated investment-related regulations or statutes?No
- D3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
- D4In the past ten years, entered an order against you or an advisory affiliate in connection with investment-related activity?No
- D5Denied, suspended, or revoked your or an advisory affiliate’s registration or license, or otherwise prevented association with an investment-related business or restricted activities?No
ESelf-regulatory organization actions4 No
Has a self-regulatory organization or commodities exchange ever:
- E1Found you or an advisory affiliate made a false statement or omission?No
- E2Found you or an advisory affiliate violated its rules, other than a violation designated as a minor rule violation under an SEC-approved plan?No
- E3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
- E4Disciplined you or an advisory affiliate by expulsion, suspension, barring association with other members, or otherwise restricting activities?No
FProfessional authorizations1 No
- FHas an authorization to act as an attorney, accountant, or federal contractor granted to you or an advisory affiliate ever been revoked or suspended?No
GPending regulatory proceedings1 No
- GAre you or any advisory affiliate now the subject of a regulatory proceeding that could result in a “Yes” answer to any part of C, D, or E?No
HCivil judicial actions and proceedings4 No
(1) Court actions
Has a domestic or foreign court:
- H(1)(a)In the past ten years, enjoined you or an advisory affiliate in connection with investment-related activity?No
- H(1)(b)Found that you or an advisory affiliate violated investment-related statutes or regulations?No
- H(1)(c)Dismissed, pursuant to a settlement agreement, an investment-related civil action brought against you or an advisory affiliate by a state or foreign financial regulatory authority?No
(2) Pending civil proceedings
- H(2)Are you or any advisory affiliate now the subject of a civil proceeding that could result in a “Yes” answer to any part of H(1)?No
* Metrics are based on the latest available data, including Form ADV filings, brochures, and relationship summaries pulled from the SEC IAPD, and may be subject to change. Learn what is included in the Rialytix data. Please refer to the firm's official disclosures for the most accurate information using their CRD number. This is not investment advice.