FORTIGENT, LLC
Adviser information for FORTIGENT, LLC last updated from Form ADV on November 29th, 2023. 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 | Maryland, United States |
Employees
| Total Number of Employees | 10 |
|---|---|
| Investment Advisory/Research | 4 |
| Registered Broker-Dealer Representatives | 4 |
| Registered State Investment Advisers | 4 |
| 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 | 922 | $3.5B |
| Non-Discretionary | 0 | $0 |
| Total | 922 | $3.5B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 538 | $3.5B |
| 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 | Portfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers)PROVIDING ADVISORY SUPPORT SERVICES TO OTHER INVESTMENT ADVISORS |
|---|---|
| Compensation | % of AUMFixed feesFEE BASED ON THE NUMBER OF CUSTODIAL ACCOUNTS RECONCILED |
Identifiers
| SEC RIA File Number | 801-65931 |
|---|---|
| SEC ERA File Number | 801-65931 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 138164 |
| Legal Entity Identifier | None |
Principal Office
1055 LPL WAYFORT MILL
SC
United States
Monday - Friday, 8:30 AM - 6:00 PM
Tel: 800-877-7210, Fax: 704-357-8501
Websites
Chief Compliance Officer
JONATHAN ROBBINS
SENIOR VICE PRESIDENT, ADVISORY CCO
75 STATE STREET, 22ND FL
BOSTON
MA
United States
Tel:
617-897-4172
Fax:
704-357-8501
J***************@***************M
(Full email address available in API data)
Regulatory Contact
MATTHEW APPLEBAUM
SENIOR VICE PRESIDENT, COMPLIANCE, LEGAL & RISK
75 STATE STREET, 22ND FLOOR
BOSTON
MA
United States
Tel:
617-897-4149
Fax:
617-526-8589
M****************@***************M
(Full email address available in API data)
Industry Affiliates
| FIDUCIARY TRUST COMPANY OF NEW HAMPSHIRE | Banking or thrift institution |
| LPL ENTERPRISE | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial planners |
| LPL FINANCIAL LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial planners |
| LPL INSURANCE ASSOCIATES | Insurance company or agency |
| THE PRIVATE TRUST COMPANY | Banking or thrift institution |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| CARRAI, GARY, BRYAN | Individual | – | PRESIDENT | 11/2006 | < 5% |
| FORTIGENT HOLDINGS COMPANY, INC. | Domestic Entity | – | MANAGING MEMBER | 12/2006 | > 75% |
| LPL FINANCIAL HOLDINGS INC. | Foreign Entity | LPL HOLDINGS, INC. | PARENT COMPANY | 06/2011 | > 75% |
| LPL HOLDINGS, INC. | Domestic Entity | FORTIGENT HOLDINGS COMPANY, INC. | PARENT COMPANY | 04/2012 | > 75% |
| Robbins, Jonathan | Individual | – | SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER ADVISORY | 12/2022 | < 5% |