FINANCIAL FORUM, INC.
Adviser information for FINANCIAL FORUM, INC. last updated from Form ADV on February 26th, 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 | Washington, 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 | 2 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 1,607 | $216.4M |
| Non-Discretionary | 0 | $0 |
| Total | 1,607 | $216.4M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 505 | $121.9M |
| HNW Individuals | 52 | $94.5M |
| 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 | 1-10 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUMHourly charges |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 0 |
| Both for Same | 222.8M |
| Portfolio Manager to Program | Sponsor |
|---|---|
| FINANCIAL FORUM WRAP FEE | FINANCIAL FORUM, INC. |
Identifiers
| SEC RIA File Number | 801-118241 |
|---|---|
| SEC ERA File Number | 801-118241 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 307740 |
| Legal Entity Identifier | None |
Principal Office
501 N RIVERPOINT BLVD., STE 104SPOKANE
WA
United States
Monday - Friday, 8:30AM - 5:00PM
Tel: 509 458 5373, Fax: None
Chief Compliance Officer
JEFFREY L. COMSTOCK
501 N RIVERPOINT BLVD., STE 104
SPOKANE
WA
United States
Tel:
509 458 5373
J***@****************O
(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 |
|---|---|---|---|---|---|
| COMSTOCK, JEFFREY, Landon | Individual | – | PARTNER, WEALTH ADVISOR, CCO | 02/2020 | 25-50% |
| COMSTOCK, LANDY, Lynn | Individual | – | WEALTH ADVISOR / PARTNER | 08/2020 | 50-75% |