FORUM PRIVATE CLIENT GROUP
FORUM SOLUTIONS GROUP, LLC Legal Name
Adviser information for FORUM PRIVATE CLIENT GROUP last updated from Form ADV on March 7th, 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 | Indiana, United States |
Employees
| Total Number of Employees | 7 |
|---|---|
| Investment Advisory/Research | 5 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 4 |
| Licensed Agents of an Insurance Company | 3 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 1,126 | $270.7M |
| Non-Discretionary | 119 | $26.3M |
| Total | 1,245 | $297.0M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 442 | $148.7M |
| HNW Individuals | 76 | $145.8M |
| 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 | 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 | <5 | $2.5M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 251-500 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPublication of periodicals or newslettersEducational seminars/workshops |
|---|---|
| Compensation | % of AUMHourly chargesFixed feesCommissions |
Identifiers
| SEC RIA File Number | 801-78874 |
|---|---|
| SEC ERA File Number | 801-78874 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 143075 |
| Legal Entity Identifier | None |
Principal Office
11313 USA PARKWAYFISHERS
IN
United States
Monday - Friday, 8:00 AM TO 5:00 PM
Tel: 317-558-6322, Fax: 317-558-6320
Chief Compliance Officer
GERY SADZEWICZ
CCO
5205 BROOKSHIRE ESTATES DRIVE
PLAINFIELD
IL
United States
Tel:
815-782-1250
G***@*************************M
(Full email address available in API data)
Regulatory Contact
JAMES CARR
VICE PRESIDENT
P.O. BOX 56036
INDIANAPOLIS
IN
United States
Tel:
317-558-6383
J*******@**********M
(Full email address available in API data)
Industry Affiliates
| FORUM CREDIT UNION | Banking or thrift institutionInsurance company or agency |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| FORUM CREDIT UNION | Domestic Entity | – | MANAGING MEMBER | 07/2006 | > 75% |
| SADZEWICZ, GERY, JOSEPH | Individual | – | CHIEF COMPLIANCE OFFICER | 12/2017 | < 5% |
| BANKS, BENJAMEN, MICHAEL | Individual | – | ASSISTANT VICE PRESIDENT | 11/2022 | < 5% |
| IRWIN, SHAUN, MARIE | Individual | – | ASSISTANT VICE PRESIDENT | 11/2022 | < 5% |
| CARR, JAMES, SCOTT | Individual | – | SENIOR VICE PRESIDENT | 02/2023 | < 5% |