FORUM CAPITAL ADVISORS LLC
Adviser information for FORUM CAPITAL ADVISORS LLC last updated from Form ADV on March 28th, 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 | Delaware, United States |
Employees
| Total Number of Employees | 66 |
|---|---|
| Investment Advisory/Research | 15 |
| Registered Broker-Dealer Representatives | 8 |
| Registered State Investment Advisers | 0 |
| 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 | 3 | $827.8M |
| Non-Discretionary | 0 | $0 |
| Total | 3 | $827.8M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 1 | $113.5M |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 2 | $714.3M |
| 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 | Portfolio management for investment companiesPortfolio management for pooled investment vehicles |
|---|---|
| Compensation | % of AUMPerformance-based fees |
Identifiers
| SEC RIA File Number | 801-120917 |
|---|---|
| SEC ERA File Number | 801-120917 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 297582 |
| Legal Entity Identifier | None |
Principal Office
240 SAINT PAUL STREETSUITE 400
DENVER
CO
United States
Monday - Friday, 7:30 AM - 5:00 PM
Tel: 303-501-8860, Fax: None
Chief Compliance Officer
ELIZABETH A. RYAN
GENERAL COUNSEL
240 SAINT PAUL STREET
SUITE 400
DENVER
CO
United States
Tel:
303-501-8880
E****@*******************M
(Full email address available in API data)
Regulatory Contact
BRADLEY ADAM NEMZER
CHIEF OPERATING OFFICER
240 SAINT PAUL STREET
SUITE 400
DENVER
CO
United States
Tel:
215-605-7967
B******@*******************M
(Full email address available in API data)
Industry Affiliates
| FCA CAPITAL MARKETS LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| FORUM REAL ESTATE GROUP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| FORUM STRUCTURED FINANCE GP LLC | Sponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| FORUM STRUCTURED FINANCE LP | Real Estate Fund | $206.9M | $0.3M | 128 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| FISK, DARREN, MCKEE | Individual | – | FOUNDER AND CHIEF EXECUTIVE OFFICER | 06/2018 | < 5% |
| NEMZER, BRADLEY, ADAM | Individual | – | CHIEF OPERATING OFFICER | 02/2021 | < 5% |
| RYAN, ELIZABETH, ANNE | Individual | – | GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER | 04/2022 | < 5% |
| FORUM INVESTMENT GROUP LLC | Domestic Entity | – | OWNER | 08/2022 | > 75% |
| FISK, DARREN, MCKEE | Individual | FORUM INVESTMENT GROUP LLC | MANAGING MEMBER | 08/2022 | > 75% |
| MCAULIFFE, PAUL, JOSEPH | Individual | – | CHIEF FINANCIAL OFFICER | 08/2022 | < 5% |
| MILLER, JAMES, WILLIAM | Individual | – | CHIEF INVESTMENT OFFICER | 01/2023 | < 5% |