Hedge Fund Database

FOREFRONT WEALTH MANAGEMENT

FOREFRONT WEALTH MANAGEMENT INC. Legal Name

Adviser information for FOREFRONT WEALTH MANAGEMENT last updated from Form ADV on February 5th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.

Advisory Business

Type of Organization Corporation
Fiscal Year End DECEMBER
Legal Location Pennsylvania, United States

Employees

Total Number of Employees 4
Investment Advisory/Research 3
Registered Broker-Dealer Representatives 0
Registered State Investment Advisers 3
Licensed Agents of an Insurance Company 0
No. of Firms/People that Solicit Clients 0

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 286 $198.3M
Non-Discretionary 119 $25.0M
Total 405 $223.4M

Clients

Type Number RAUM
Individuals 71 $26.8M
HNW Individuals 53 $196.6M
Banking or thrift institutions 0 $0
Investment companies 0 $0
Business development companies 0 $0
Pooled investment vehicles 0 $0
Pension and profit sharing plans 0 $0
Charitable organizations 0 $0
State or municipal gov entities 0 $0
Other investment advisers 0 $0
Insurance companies 0 $0
Sovereign wealth funds and foreign official institutions 0 $0
Corporations or other businesses 0 $0
Other 0 $0
Type Number
No. of Non-RAUM Clients 0
No. of Non-U.S. Clients 0
No. of Financial Planning Clients 0

Services

Advisory Services Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers)
Compensation % of AUMHourly chargesFixed fees

Wrap Fee Program

Offers Wrap Fee Program Yes
Acting As RAUM
Sponsor 0
Portfolio Manager 0
Both for Same 195.3M
Portfolio Manager to Program Sponsor
FOREFRONT FLEX FOREFRONT WEALTH MANAGEMENT

Identifiers

SEC RIA File Number 801-114299
SEC ERA File Number 801-114299
SEC CIK Numbers 1904828
SEC CRD Numbers 299003
Legal Entity Identifier None

Principal Office

18 CHURCH ROAD
MALVERN
PA
United States
Monday - Friday, 9-5
Tel: 610-600-1099, Fax: 610-600-1098

Websites

www.4frontwm.com www.linkedin.com/company/4frontwm/

Chief Compliance Officer

ARTHUR ROMANO
18 CHURCH ROAD
MALVERN
PA
United States
Tel: (610) 600-1099
Fax: 610-600-1098
(Full email address available in API data)

Regulatory Contact

CARL SCHULTZ
CHIEF EXECUTIVE OFFICER/CHIEF INVESTMENT OFFICER
18 CHURCH ROAD
MALVERN
PA
United States
Tel: (610) 600-1099
Fax: 610-600-1098
(Full email address available in API data)

Industry Affiliates

None

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
None

Control Persons

Name Type Entity Title Since Ownership
ROMANO, ARTHUR, ROBERT Individual – CHIEF COMPLIANCE OFFICER 01/2024 < 5%
SCHULTZ, CARL, ALAN Individual – CHIEF EXECUTIVE OFFICER/CHIEF INVESTMENT OFFICER 09/2018 > 75%
COTTONE, ANTHONY, RALPH Individual – PRESIDENT 12/2020 < 5%

No. Employees, Historic

105020192020202120222023202420254 on 8/23/20194 on 10/30/20195 on 3/31/20205 on 6/10/20207 on 2/9/20216 on 4/6/20216 on 8/9/20216 on 11/3/20214 on 2/15/20224 on 3/3/20234 on 2/5/2024

RAUM, Historic

300M150M02019202020212022202320242025118746454 on 8/23/2019118746454 on 10/30/2019132270971 on 3/31/2020132270971 on 6/10/2020156759737 on 2/9/2021156759737 on 4/6/2021156759737 on 8/9/2021156759737 on 11/3/2021215174844 on 2/15/2022198870211 on 3/3/2023223372329 on 2/5/2024

No. Clients, Historic

20010002019202020212022202320242025110 on 8/23/2019110 on 10/30/2019129 on 3/31/2020129 on 6/10/2020121 on 2/9/2021121 on 4/6/2021121 on 8/9/2021121 on 11/3/2021153 on 2/15/2022124 on 3/3/2023124 on 2/5/2024

Holdings

From latest 13F, filed November 6th, 2023 for period ending September 30th, 2023
Name Class Value $USD # Shares Private Fund
ABBOTT LABS COM 2M 20K –
ABBVIE INC COM 3M 20K –
ALIBABA GROUP HLDG LTD SPONSORED ADS 2M 24K –
ALPHABET INC CAP STK CL A 3M 25K –
AMAZON COM INC COM 5M 36K –
APPLE INC COM 6M 35K –
ATMOS ENERGY CORP COM 602K 6K –
BLACKSTONE INC COM 216K 2K –
COCA COLA CO COM 1M 24K –
COMCAST CORP NEW CL A 229K 5K –
COSTCO WHSL CORP NEW COM 3M 5K –
DEVON ENERGY CORP NEW COM 2M 42K –
ENTERGY CORP NEW COM 245K 3K –
EXXON MOBIL CORP COM 560K 5K –
META PLATFORMS INC CL A 693K 2K –
FIRST TR EXCHANGE TRADED FD DJ GLBL DIVID 1M 60K –
HUB GROUP INC CL A 1M 15K –
INVESCO EXCHANGE TRADED FD T S&P500 EQL WGT 917K 6K –
ISHARES TR LATN AMER 40 ETF 1M 41K –
ISHARES TR CORE HIGH DV ETF 4M 43K –
ISHARES TR MSCI JP VALUE 1M 40K –
JPMORGAN CHASE & CO COM 334K 2K –
LOCKHEED MARTIN CORP COM 2M 4K –
MERCK & CO INC COM 1M 10K –
MICROSOFT CORP COM 7M 22K –
NEW JERSEY RES CORP COM 720K 18K –
OLIN CORP COM PAR $1 3M 57K –
ONEOK INC NEW COM 3M 42K –
PFIZER INC COM 688K 21K –
PROSHARES TR S&P MDCP 400 DIV 538K 8K –
PROSHARES TR ULTRAPRO SHT QQQ 245K 12K –
REGENERON PHARMACEUTICALS COM 3M 3K –
SHELL PLC SPON ADS 685K 11K –
SPDR INDEX SHS FDS EURO STOXX 50 2M 41K –
TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADS 2M 27K –
UNITEDHEALTH GROUP INC COM 4M 8K –
VANGUARD WORLD FDS HEALTH CAR ETF 639K 3K –
VANGUARD WORLD FDS INF TECH ETF 1M 3K –
COPA HOLDINGS SA CL A 794K 9K –