FORGE FINANCIAL
FORGE FINANCIAL SERVICES, LLC Legal Name
Adviser information for FORGE FINANCIAL last updated from Form ADV on March 27th, 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 | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Oklahoma, United States |
Employees
| Total Number of Employees | 14 |
|---|---|
| Investment Advisory/Research | 11 |
| Registered Broker-Dealer Representatives | 13 |
| Registered State Investment Advisers | 13 |
| Licensed Agents of an Insurance Company | 7 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 6,173 | $1.0B |
| Non-Discretionary | 0 | $0 |
| Total | 6,173 | $1.0B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 3,243 | $493.8M |
| HNW Individuals | 810 | $510.8M |
| 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 | <5 | $770,707 |
| Charitable organizations | <5 | $802,037 |
| 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 | 9 | $2.6M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 4068 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUM |
| Other Business Activities | Registered representative of a broker-dealer |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 0 |
| Both for Same | 1.0B |
| Portfolio Manager to Program | Sponsor |
|---|---|
| FORGE FINANCIAL SERVICES WRAP FEE PROGRAM | FORGE FINANCIAL |
Identifiers
| SEC RIA File Number | 801-117938 |
|---|---|
| SEC ERA File Number | 801-117938 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 306480 |
| Legal Entity Identifier | None |
Principal Office
2901 SOUTH BRYANT AVENUEEDMOND
OK
United States
Monday - Friday, 8 AM TO 5 PM
Tel: 405-340-1600, Fax: 405-340-5611
Chief Compliance Officer
JAMES D. BURLESON, II
CHIEF FINANCIAL OFFICER / INVESTMENT ADVISER REPRESENTATIVE
2901 S. BRYANT AVE.
EDMOND
OK
United States
Tel:
405-340-1600
Fax:
405-340-5611
D****@*****************M
(Full email address available in API data)
Regulatory Contact
GEOFFREY WEISS
DEPUTY COMPLIANCE OFFICER/ASSISTANT OPERATIONS MANAGER
2901 S. BRYANT AVE.
EDMOND
OK
United States
Tel:
405-340-1600
Fax:
405-340-5611
G********@*****************M
(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 |
|---|---|---|---|---|---|
| SHAW, CHARLOTTE, NANETTE | Individual | – | CHIEF EXECUTIVE OFFICER | 02/2004 | > 75% |
| BURLESON, JAMES, D | Individual | – | CHIEF COMPLIANCE OFFICER / CHIEF FINANCIAL OFFICER | 11/2019 | < 5% |
| DOTSON, JOHN, BARRY | Individual | – | CHIEF INVESTMENT OFFICER | 11/2019 | < 5% |
| MOORE, DONNA, KAY | Individual | – | CHIEF OPERATIONS OFFICER | 11/2019 | < 5% |
| HUGHES, CHRISTIE, JO | Individual | – | VICE PRESIDENT | 01/2024 | < 5% |