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 Forum Financial Management, LP
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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.
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%
NORBERT M. MINDEL DECLARATION OF TRUST DATED APRIL 15, 2000Direct owner · Schedule AInterest in FORUM FINANCIAL MANAGEMENT, LP
10% to < 25%
NIRAV BATAVIA DECLARATION OF TRUST DATED MAY 15, 2007Direct owner · Schedule AInterest in FORUM FINANCIAL MANAGEMENT, LP
10% to < 25%
LAMIA FAMILY TRUST DATED OCTOBER 8, 1999Direct owner · Schedule AInterest in FORUM FINANCIAL MANAGEMENT, LP
10% to < 25%
JOHN J. ADAM AS TRUSTEE OF THE JOHN J. ADAM DECLARATION OF TRUST DATED FEBRUARY 14, 2007Direct owner · Schedule AInterest in FORUM FINANCIAL MANAGEMENT, LP
5% to < 10%
ALFRED ANDREW MARWEDE DECLARATION OF TRUST DATED NOVEMBER 30, 2018Direct owner · Schedule AInterest in FORUM FINANCIAL MANAGEMENT, LP
5% to < 10%
JONATHAN M. ROGERS, DECLARATION OF TRUST DATED NOVEMBER 30, 2011Direct owner · Schedule AInterest in FORUM FINANCIAL MANAGEMENT, LP
5% to < 10%
KARMA A. FORRESTAL TRUST DATED FEBRUARY 14, 2015Direct owner · Schedule AInterest in FORUM FINANCIAL MANAGEMENT, LP
5% to < 10%
DAVID C. MCLELLAN TRUST DATED NOVEMBER 12, 2003Direct owner · Schedule AInterest in FORUM FINANCIAL MANAGEMENT, LP
5% to < 10%
F.A.M., LLCDirect owner · Schedule AInterest in FORUM FINANCIAL MANAGEMENT, LP
< 5%
JONATHAN MARICHAL ROGERSDirect owner · Schedule AInterest in FORUM FINANCIAL MANAGEMENT, LP
< 5%
NIRAV RAJEN BATAVIADirect owner · Schedule AInterest in FORUM FINANCIAL MANAGEMENT, LP
< 5%
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 Forum Financial Management, LP.
Reported ownership and control details
Form ADV · Filing date 2026-09-14 · Schedules A and B
| # | Owner / person & role | Interest in entity | Reported interest | Control person | Title / status acquired | Source |
|---|---|---|---|---|---|---|
| 1 | F.A.M., LLCGENERAL PARTNERDomestic entity | FORUM FINANCIAL MANAGEMENT, LP | Less than 5%Code NA | No | GENERAL PARTNER01/2014 | Schedule APDF page 84 |
| 2 | ALLISON ELIZABETH TRONNESCHIEF COMPLIANCE OFFICERIndividual | FORUM FINANCIAL MANAGEMENT, LP | Less than 5%Code NA | Yes | CHIEF COMPLIANCE OFFICER01/2019 | Schedule APDF page 84 |
| 3 | WILLIAM MACKENZIE DAVISCHIEF OPERATIONS OFFICERIndividual | FORUM FINANCIAL MANAGEMENT, LP | Less than 5%Code NA | Yes | CHIEF OPERATIONS OFFICER01/2019 | Schedule APDF page 84 |
| 4 | NORBERT M. MINDEL DECLARATION OF TRUST DATED APRIL 15, 2000LIMITED PARTNERDomestic entity | FORUM FINANCIAL MANAGEMENT, LP | 10% to less than 25%Code B | Yes | LIMITED PARTNER07/2002 | Schedule APDF page 84 |
| 5 | JOHN J. ADAM AS TRUSTEE OF THE JOHN J. ADAM DECLARATION OF TRUST DATED FEBRUARY 14, 2007LIMITED PARTNERDomestic entity | FORUM FINANCIAL MANAGEMENT, LP | 5% to less than 10%Code A | Yes | LIMITED PARTNER07/2002 | Schedule APDF page 84 |
| 6 | ALFRED ANDREW MARWEDE DECLARATION OF TRUST DATED NOVEMBER 30, 2018LIMITED PARTNERDomestic entity | FORUM FINANCIAL MANAGEMENT, LP | 5% to less than 10%Code A | Yes | LIMITED PARTNER08/2012 | Schedule APDF page 84 |
| 7 | JONATHAN M. ROGERS, DECLARATION OF TRUST DATED NOVEMBER 30, 2011LIMITED PARTNERDomestic entity | FORUM FINANCIAL MANAGEMENT, LP | 5% to less than 10%Code A | Yes | LIMITED PARTNER01/2012 | Schedule APDF page 84 |
| 8 | NIRAV BATAVIA DECLARATION OF TRUST DATED MAY 15, 2007LIMITED PARTNERDomestic entity | FORUM FINANCIAL MANAGEMENT, LP | 10% to less than 25%Code B | Yes | LIMITED PARTNER01/2015 | Schedule APDF page 84 |
| 9 | KARMA A. FORRESTAL TRUST DATED FEBRUARY 14, 2015LIMITED PARTNERDomestic entity | FORUM FINANCIAL MANAGEMENT, LP | 5% to less than 10%Code A | Yes | LIMITED PARTNER07/2016 | Schedule APDF page 84 |
| 10 | LAMIA FAMILY TRUST DATED OCTOBER 8, 1999LIMITED PARTNERDomestic entity | FORUM FINANCIAL MANAGEMENT, LP | 10% to less than 25%Code B | Yes | LIMITED PARTNER11/2018 | Schedule APDF page 84 |
| 11 | DAVID C. MCLELLAN TRUST DATED NOVEMBER 12, 2003LIMITED PARTNERDomestic entity | FORUM FINANCIAL MANAGEMENT, LP | 5% to less than 10%Code A | Yes | LIMITED PARTNER07/2022 | Schedule APDF page 84 |
| 12 | JONATHAN MARICHAL ROGERSCO-MANAGING PARTNER & CO-CHIEF INVESTMENT OFFICERIndividual | FORUM FINANCIAL MANAGEMENT, LP | Less than 5%Code NA | Yes | CO-MANAGING PARTNER & CO-CHIEF INVESTMENT OFFICER01/2012 | Schedule APDF page 84 |
| 13 | NIRAV RAJEN BATAVIACO-MANAGING PARTNER & CO-CHIEF INVESTMENT OFFICERIndividual | FORUM FINANCIAL MANAGEMENT, LP | Less than 5%Code NA | Yes | CO-MANAGING PARTNER & CO-CHIEF INVESTMENT OFFICER01/2015 | Schedule APDF page 84 |
| 14 | NORBERT MAC MINDELTRUSTEEIndividual | NORBERT M. MINDEL DECLARATION OF TRUST DATED APRIL 15, 2000 | Percentage not specifiedCode F | Yes | TRUSTEE07/2002 | Schedule BPDF page 85 |
| 15 | JOHN JOSEPH ADAMTRUSTEEIndividual | JOHN J. ADAM AS TRUSTEE OF THE JOHN J. ADAM DECLARATION OF TRUST DATED FEBRUARY 14, 2007 | Percentage not specifiedCode F | Yes | TRUSTEE07/2002 | Schedule BPDF page 85 |
| 16 | ALFRED ANDREW MARWEDETRUSTEEIndividual | ALFRED ANDREW MARWEDE DECLARATION OF TRUST DATED NOVEMBER 30, 2018 | Percentage not specifiedCode F | Yes | TRUSTEE08/2012 | Schedule BPDF page 85 |
| 17 | JONATHAN MARICHAL ROGERSTRUSTEEIndividual | JONATHAN M. ROGERS, DECLARATION OF TRUST DATED NOVEMBER 30, 2011 | Percentage not specifiedCode F | Yes | TRUSTEE01/2012 | Schedule BPDF page 85 |
| 18 | NIRAV RAJEN BATAVIATRUSTEEIndividual | NIRAV BATAVIA DECLARATION OF TRUST DATED MAY 15, 2007 | Percentage not specifiedCode F | Yes | TRUSTEE01/2015 | Schedule BPDF page 85 |
| 19 | KARMA ANN FORRESTALTRUSTEEIndividual | KARMA A. FORRESTAL TRUST DATED FEBRUARY 14, 2015 | Percentage not specifiedCode F | Yes | TRUSTEE07/2016 | Schedule BPDF page 85 |
| 20 | CHRISTOPHER ANTHONY LAMIATRUSTEEIndividual | LAMIA FAMILY TRUST DATED OCTOBER 8, 1999 | Percentage not specifiedCode F | Yes | TRUSTEE11/2018 | Schedule BPDF page 85 |
| 21 | DAVID COTTEN MCCLELLANTRUSTEEIndividual | DAVID C. MCLELLAN TRUST DATED NOVEMBER 12, 2003 | Percentage not specifiedCode F | Yes | TRUSTEE07/2022 | Schedule BPDF page 85 |
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 9/14/2026 2:35:59 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.