Main Street Financial Solutions

Your Practice. Our Support.

Practice insights, trends, and compliance simplified—so you can focus on your business.

Compliance & Advisor Collaboration
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For Advisors

Quarterly Practice Snapshots

Every quarter, you get a snapshot of your book—growth trends, position breakdown, and account activity. Your business at a glance, with year-over-year comparisons.

Add notes, document conversations, and keep everything in one place. When questions come up, the context is already there.

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Your Numbers

  • Total accounts & AUM
  • Household count
  • Year-over-year growth
  • Average account size
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Position Breakdown

  • Concentrated equity (>20%)
  • ABC share mutual funds
  • Options & derivatives
  • Alternative investments
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Activity & Trends

  • Account activity levels
  • Allocation changes
  • Growth patterns
  • Client demographics
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Account Details

  • Margin balances
  • Risk profiles
  • Account types
  • Custodian breakdown
Q4 2025 Practice Snapshot
Your Numbers
305
Accounts
↑ 3%
$122M
AUM
↑ 8%
100
Households
$401K
Avg Size
↑ 5%
Position Summary
Concentrated Positions
10↓ 2
Inactive Accounts
3↓ 1
ABC Share Funds
8
Options Exposure
2new
Margin Accounts
1
Note
On Concentrated Positions:
"Smith account at 28% AAPL - client aware, documented in CRM."

The System at Work

Year-over-year progress across the firm

Asset Allocation

2024 Q3 2025 Q3
Cash
Equity
Fixed Income
Alternatives
ABC Shares
215 positions(from 267 positions)
↓ 19%
Accounts in Drift
53 accounts(from 84 accounts)
↓ 37%
Margin Exposure
$11.8M(from $12.4M)
↓ 5%

Collaboration in Action

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Compliance

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Advisor

Options Positions
42
Complex Securities
28
Concentrated Holdings
156

Tracked continuously

Compliance Manual12 of 35 viewed
🔍Search policies...
Quick Access
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Code of Ethics
All
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Social Media
Advisor
🔒
Cybersecurity
All
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Trading
Advisor
🎁
Gifts & Entertainment
All
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Communications
Advisor
Your Sections
Outside Business Activities
Off-Channel Communications
NEW
Marketing Rule Updates
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Knowledge System

A Manual You Can Actually Use

Most firms hand you a 500-page PDF and ask you to sign that you read it. Nobody reads it. Everyone signs anyway.

Our compliance manual is organized by topic, searchable, and shows you only what applies to your role. Bookmark sections you reference often. When policies update, you will know exactly what changed.

🎯Role-based sections—see what applies to you
🔍Full-text search across all policies
📑Bookmark and track your progress
🆕New and updated sections clearly marked

Running in the Background

Systems that work for you without adding to your workload

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Billing Verification

Every fee calculated and verified before charges go through.

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CRD Monitoring

Your registrations and disclosures tracked continuously.

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Magic Link Access

No passwords. Click the link in your email, you are in.

For Leadership

Firm-Wide Visibility

Daily money movement, weekly analytics, and a clear view across all advisors. Know where things stand without chasing down updates.

Daily Dashboard

Money movement, AUM, and advisor-level flows—delivered every morning

Weekly Summary

Trends, exceptions, and firm health metrics every Saturday

Advisor Snapshots

See practice snapshots across the firm, track engagement

Billing Exceptions

Fee discrepancies surfaced before they become issues

Executive Dashboard
Firm AUM$2.61B
Net Flows (Today)+$1.2M
Snapshots Viewed32 / 37
Manual Acknowledgments35 / 37

Delivered to leadership at 6 AM ET, Tuesday through Saturday

Built by Our Team, for Our Team

These systems run our own operations every day. The practice snapshots, the manual, the billing verification—all of it started as internal tools to solve real problems. They work because we use them.

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