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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 1b 10b

FORUM FINANCIAL MANAGEMENT, LP

CRD 145706

LOMBARD, IL

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Search this name across graphsid dfx:ria:2405846c-3434-9a8e-b2bf-d6bafbf66ded

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 6:19 PM UTC and rebuilt at most every 15 minutes.

Relationships: 183
Dated events: 40
On other graphs: 0
Observed: Dec 21, 2011 to Sep 14, 2026
145 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: independent wealth managerderivedprivate_client_share=0.82 fund_share=0.14 institutional_share=0.0 related_bd=false related_bank=false bd_reps=10.0
Regulatory AUM: $8.7BItem 5.F on the latest filing (2026-09-14); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $8.7B
Private client RAUM: $7.1BderivedItem 5.D individuals plus high net worth individuals
Private client share: 82%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 117
RAUM per advisor: $74.3Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 143
Advisory employees: 94
Offices: 59Schedule D 1.F, beyond the principal office
Accounts: 19,838
Individual clients: 3,903
High net worth clients: 1,719
Custody, client assets: $605M
SEC number: 801-69970
CRD: 145706
Filings on the tape: 145
First filed: Dec 21, 2011
Latest filed: Sep 14, 2026
Organised: Limited Partnership, DE

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first; showing 25 of 115

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
JOHN JOSEPH ADAM	Certified Financial Planner	LOMBARD, IL	17	35	1	no
MARCUS KURT HEINRICH	Certified Financial Planner	SAINT PETERSBURG, FL \| LOMBARD, IL	17	37	1	no
JOSEPH ANTHONY SPOKAS	Certified Financial Planner\|Personal Financial Specialist	LOMBARD, IL	17	34	1	yes
HOWARD SHANE KITE	Certified Financial Planner\|Chartered Financial Consultant	LOMBARD, IL	17	44	2	no
ROBERT THOMAS METHVEN	n/a	LOMBARD, IL \| MIDLOTHIAN, VA	17	23	1	no
LEON STEVEN KOLODZIEJ	n/a	SAINT CHARLES, IL \| LOMBARD, IL	16	19	1	no
NORBERT MAC MINDEL	Certified Financial Planner	LOMBARD, IL \| CAREFREE, AZ	16	39	1	no
WILLIAM ADAM FATES	n/a	Itasca, IL \| LOMBARD, IL	16	37	n/a	no
ARVIN THOMAS WEINDRUCH	n/a	NORTHFIELD, IL \| LOMBARD, IL	16	46	1	no
ALAN CHARLES HAMBOURGER	Certified Financial Planner	PONCE INLET, FL \| LOMBARD, IL	16	36	1	no
MICHAEL SEVERIN KENNEDY	Certified Financial Planner	Oak Brook, IL	16	23	2	no
SUSAN REEDY WILLIAMS	n/a	Villa Park, IL \| LOMBARD, IL	16	24	n/a	no
JAMES ARNOLD LAPERA	n/a	LOMBARD, IL	14	36	1	yes
MICHAEL WILLIAM KITE	n/a	LOMBARD, IL	14	15	n/a	yes
JONATHAN MARICHAL ROGERS	Certified Financial Planner	LOMBARD, IL	14	19	1	no
KARMA ANN FORRESTAL	Certified Financial Planner	LOMBARD, IL	14	20	1	no
MICHELLE ERIN WEINDRUCH	Certified Financial Planner	NORTHFIELD, IL \| LOMBARD, IL	14	15	n/a	no
ALFRED ANDREW MARWEDE	n/a	Mequon, WI \| LOMBARD, IL \| LAKE FOREST, IL	14	34	3	no
CHRISTOPHER JOHN GENZLER	Certified Financial Planner	LOMBARD, IL	14	35	1	no
ANDREA JOY SCHREIBER	n/a	NAPERVILLE, IL \| LOMBARD, IL	13	25	n/a	no
PAUL RAYMOND DRANICZAREK	n/a	WESTMONT, IL \| LOMBARD, IL	13	38	1	no
DENNIS MICHAEL MICHON	n/a	Orland Park, IL \| LOMBARD, IL	13	20	n/a	no
THOMAS ROBERT LONGO	n/a	LA GRANGE, IL \| LOMBARD, IL	13	22	1	no
BRUCE JOHN SKRYD	n/a	LA GRANGE, IL \| LOMBARD, IL	13	35	1	no
DENNIS JOSEPH WOJCICKI	n/a	ITASCA, IL \| LOMBARD, IL	13	35	1	no

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
DAVIS, WILLIAM, MACKENZIE	CHIEF OPERATIONS OFFICER CO-CHIEF INVESTMENT OFFICER CO-CHIEF INVESTMENT OFFICER	Na	yes	01/2019	Sep 14, 2026	Sep 14, 2026
TRONNES, ALLISON, ELIZABETH	CHIEF COMPLIANCE OFFICER	Na	yes	01/2019	Sep 14, 2026	Sep 14, 2026
ADAM, JOHN, JOSEPH	Trustee	F	yes	07/2002	Dec 21, 2011	Dec 16, 2024
ALFRED ANDREW MARWEDE DECLARATION OF TRUST DATED NOVEMBER 30, 2018	LIMITED PARTNER	A	yes	08/2012	Mar 9, 2022	Dec 16, 2024
BATAVIA, NIRAV, RAJEN	CO-MANAGING PARTNER, CHIEF TECHNOLOGY OFFICER, & CO-CHIEF INVESTMENT OFFICER	Na	yes	01/2015	Jan 14, 2015	Dec 16, 2024
BATAVIA, NIRAV, RAJEN	Trustee	F	yes	01/2015	Jan 14, 2015	Dec 16, 2024
CRAY, JENNIFER, HILARY	LIMITED PARTNER	Na	yes	08/2023	Mar 15, 2024	Dec 16, 2024
DANIEL JOSEPH DRALLMEIER TRUST DATED APRIL 18, 2022	LIMITED PARTNER	Na	yes	04/2022	Jul 7, 2022	Dec 16, 2024
DAVID C. MCLELLAN TRUST DATED NOVEMBER 12, 2003	LIMITED PARTNER	A	yes	07/2022	Jul 7, 2022	Dec 16, 2024
DRALLMEIER, DANIEL, JOSEPH	Trustee	F	yes	04/2022	Apr 6, 2022	Dec 16, 2024
FORRESTAL, KARMA, ANN	Trustee	F	yes	07/2016	Mar 8, 2017	Dec 16, 2024
JOHN J. ADAM AS TRUSTEE OF THE JOHN J. ADAM DECLARATION OF TRUST DATED FEBRUARY 14, 2007	LIMITED PARTNER	A	yes	07/2002	Mar 9, 2022	Dec 16, 2024
JONATHAN M. ROGERS, DECLARATION OF TRUST DATED NOVEMBER 30, 2011	LIMITED PARTNER	B	yes	01/2012	Mar 9, 2022	Dec 16, 2024
KARMA A. FORRESTAL TRUST DATED FEBRUARY 14, 2015	LIMITED PARTNER	A	yes	07/2016	Mar 9, 2022	Dec 16, 2024
KITE, HOWARD, SHANE	LIMITED PARTNER	Na	yes	04/2021	May 24, 2021	Dec 16, 2024
LAMIA FAMILY TRUST DATED OCTOBER 8, 1999	LIMITED PARTNER	B	yes	11/2018	Mar 9, 2022	Dec 16, 2024
LAMIA, CHRISTOPHER, ANTHONY	Trustee	F	yes	11/2018	Mar 21, 2019	Dec 16, 2024
MARWEDE, ALFRED, ANDREW	Trustee	F	yes	08/2012	Aug 1, 2012	Dec 16, 2024
MCCLELLAN, DAVID, COTTEN	Trustee	F	yes	07/2022	Feb 17, 2023	Dec 16, 2024
MEIER, ERIC, KARL	CHIEF FINANCIAL OFFICER	Na	yes	09/2023	Mar 15, 2024	Dec 16, 2024
METHVEN, ROBERT, THOMAS	Trustee	F	yes	07/2007	Dec 21, 2011	Dec 16, 2024
MINDEL, NORBERT, MAC	Trustee	F	yes	07/2002	Dec 21, 2011	Dec 16, 2024
NIRAV BATAVIA DECLARATION OF TRUST DATED MAY 15, 2007	LIMITED PARTNER	B	yes	01/2015	Mar 9, 2022	Dec 16, 2024
NORBERT M. MINDEL DECLARATION OF TRUST DATED APRIL 15, 2000	LIMITED PARTNER	B	yes	07/2002	Mar 9, 2022	Dec 16, 2024
NYBO, FAYE, HIZON	CHIEF LEGAL COUNSEL	Na	yes	11/2017	Mar 13, 2018	Dec 16, 2024
ROBERT T. METHVEN TRUST DATED MAY 5, 2022	LIMITED PARTNER	A	yes	05/2022	Jul 7, 2022	Dec 16, 2024
ROGERS, JONATHAN, MARICHAL	CO-MANAGING PARTNER, CHIEF FINANCIAL OFFICER, & CO-CHIEF INVESTMENT OFFICER	Na	yes	01/2012	Aug 6, 2014	Dec 16, 2024
ROGERS, JONATHAN, MARICHAL	Trustee	F	yes	01/2012	Aug 6, 2014	Dec 16, 2024
SCHATZ, JULIE, ANN	LIMITED PARTNER	Na	yes	08/2023	Mar 15, 2024	Dec 16, 2024
SMITH, DAVID, NEIL	LIMITED PARTNER	A	yes	01/2021	Feb 3, 2021	Dec 16, 2024
STARK, MARIE, ELIZABETH	LIMITED PARTNER	Na	yes	01/2021	Feb 3, 2021	Dec 16, 2024
F.A.M., LLC	GENERAL PARTNER	Na	no	01/2014	Sep 14, 2026	Sep 14, 2026

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
AMANDA LYNN D'APRILE	n/a	n/a	n/a	N	no	n/a
ANDREA JOY SCHREIBER	n/a	n/a	n/a	N	no	n/a
BENJAMIN SCOTT SEVCIK	n/a	n/a	n/a	N	no	n/a
BRUCE JOHN SKRYD	n/a	n/a	n/a	N	no	n/a
DAVID DANIEL LENNON	n/a	n/a	n/a	N	no	n/a
DAVID EDWARD CAMPBELL	n/a	n/a	n/a	N	no	n/a
DEBRA ANN GARDI	n/a	n/a	n/a	N	no	n/a
DENNIS MICHAEL MICHON	n/a	n/a	n/a	N	no	n/a
HEIDI CHRISTA VERBISCER	n/a	n/a	n/a	N	no	n/a
JAMES ARNOLD LAPERA	n/a	n/a	n/a	N	no	n/a
JASON ALVERO FORRESTER	n/a	n/a	n/a	N	no	n/a
JOHN JOSEPH ADAM	n/a	n/a	n/a	N	no	n/a
JOSEPH ANTHONY SPOKAS	n/a	n/a	n/a	N	no	n/a
LINDA SUE PARKS	n/a	n/a	n/a	N	no	n/a
LOU ANN LISACK	n/a	n/a	n/a	N	no	n/a
LOUIS PEARSON BROWN	n/a	n/a	n/a	N	no	n/a
LOUIS PEARSON BROWN	n/a	n/a	n/a	N	no	n/a
MARIE ELIZABETH STARK	n/a	n/a	n/a	N	no	n/a
MARK R DONATELLI	n/a	n/a	n/a	N	no	n/a
MARK R DONATELLI	n/a	n/a	n/a	N	no	n/a
MARTIN GLENN POMREHN	n/a	n/a	n/a	N	no	n/a
MARVIN LEE PEPLOW	n/a	n/a	n/a	N	no	n/a
MARY ANNE EHLERT	n/a	n/a	n/a	N	no	n/a
MARY PATRICIA WESCHE	n/a	n/a	n/a	N	no	n/a
MATTHEW A. RAMOS	n/a	n/a	n/a	N	no	n/a
MATTHEW JOSEPH SPOKAS	n/a	n/a	n/a	N	no	n/a
MICHAEL GEORGE MOLES	n/a	n/a	n/a	N	no	n/a
MICHAEL WILLIAM KITE	n/a	n/a	n/a	N	no	n/a
PAUL RAYMOND DRANICZAREK	n/a	n/a	n/a	N	no	n/a
RICHARD DAVID JOHN HARIG	n/a	n/a	n/a	N	no	n/a
RONALD DWIGHT AUSTIN	n/a	n/a	n/a	N	no	n/a
STEPHEN ALBERT SENESAC	n/a	n/a	n/a	N	no	n/a
SUSAN REEDY WILLIAMS	n/a	n/a	n/a	N	no	n/a
THOMAS JOHN CAMPBELL	n/a	n/a	n/a	N	no	n/a
THOMAS ROBERT LONGO	n/a	n/a	n/a	N	no	n/a
WILLIAM ADAM FATES	n/a	n/a	n/a	N	no	n/a
WILLIAM ORRIN MORRISON, JR.	n/a	n/a	n/a	N	no	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
THOUSAND OAKS	CA	United States	5	no
Cohoes	NY	United States	4	no
SAINT CHARLES	IL	United States	3	yes
MENLO PARK	CA	United States	2	no
Sonora	CA	United States	2	no
SOUTH MIAMI	FL	United States	2	no
Lisle	IL	United States	2	yes
Naperville	IL	United States	2	no
Northfield	IL	United States	2	no
OAK BROOK	IL	United States	2	yes
ORLAND PARK	IL	United States	2	no
Skokie	IL	United States	2	no
Midlothian	Va	United States	2	no
Mequon	Wi	United States	2	no
Scottsdale	Az	United States	1	no
Denver	Co	United States	1	no
Sarasota	FL	United States	1	yes
Chicago	IL	United States	1	no
Chicago	IL	United States	1	yes
Chicago	IL	United States	1	no
Itasca	IL	United States	1	no
Joliet	IL	United States	1	yes
LA GRANGE	IL	United States	1	no
LAKE FOREST	IL	United States	1	no
Manalapan	Nj	United States	1	no
RED BANK	Nj	United States	1	no
Ithaca	NY	United States	1	no
Edmonds	Wa	United States	1	no
n/a	n/a	n/a	1	no
n/a	n/a	n/a	1	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line; showing 15 of 18

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Apr 14, 2026	$8.7B	$8.7B	143	94	53	n/a	n/a
2024	Mar 31, 2025	$9.0B	$9.0B	140	87	48	n/a	n/a
2023	Mar 15, 2024	$8.5B	$8.4B	145	89	48	n/a	n/a
2022	Feb 17, 2023	$7.0B	$6.9B	125	86	43	n/a	n/a
2021	Mar 9, 2022	$7.4B	$7.3B	135	83	37	n/a	n/a
2020	Feb 3, 2021	$5.4B	$5.3B	118	88	32	n/a	n/a
2019	Feb 18, 2020	$4.5B	$4.5B	107	73	32	n/a	n/a
2018	Mar 21, 2019	$3.8B	$3.8B	96	68	28	n/a	n/a
2017	Mar 13, 2018	$3.3B	$3.3B	77	50	20	n/a	n/a
2016	Mar 8, 2017	$2.6B	$2.6B	70	51	n/a	n/a	n/a
2015	Feb 18, 2016	$2.0B	$2.0B	66	45	n/a	n/a	n/a
2014	Mar 9, 2015	$2.0B	$2.0B	62	43	n/a	n/a	n/a
2013	Feb 25, 2014	$1.6B	$1.6B	54	45	n/a	n/a	n/a
2012	Mar 25, 2013	$1.0B	$918M	34	26	n/a	n/a	n/a
2011	Mar 26, 2012	$713M	$713M	n/a	n/a	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
8	0	8	0.0%	3	0	0	14	8

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$8.7B	$9.0B	-3.8%	$7.0B	7.4%	143	140	59	48

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
BRIDGE GENERATIONS WEALTH MANAGEMENT	2	Jan 31, 2025	Jul 25, 2024	LOMBARD, IL	Team lift out	RIA to RIA	2.2%
LASALLE ST. INVESTMENT ADVISORS, L.L.C.	3	Nov 7, 2023	Nov 6, 2023	FRANKFORT, IL	Team lift out	RIA to ibd	3.4%

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
ODYSSEY PERSONAL FINANCIAL ADVISORS, LLC	2	Dec 31, 2025	Dec 15, 2025	ROSWELL, GA	Team lift out	RIA to RIA	100.0%
AVANTAX ADVISORY SERVICES	2	Jul 2, 2025	Jul 7, 2025	HIGH POINT, NC	Team lift out	Ibd to RIA	0.1%
MP CAPITAL MANAGEMENT, INC.	2	Feb 14, 2024	Jan 1, 2025	SONORA, CA	Team lift out	Other	100.0%
INVESTOR'S CAPITAL MANAGEMENT, LLC	2	Aug 1, 2023	Jan 7, 2026	MENLO PARK, CA	Team lift out	RIA to RIA	100.0%
LAMIA FINANCIAL GROUP, INC.	4	Apr 2, 2019	Jul 22, 2025	THOUSAND OAKS, CA	Firm absorbed	RIA to RIA	100.0%
CETERA INVESTMENT ADVISERS LLC	2	Feb 17, 2015	Feb 13, 2015	ST CHARLES, IL	Team lift out	Other	0.2%

Relationships

showing 80 of 183

Registered with (78)

← John MartinAdvisorregistration: current employment
Sep 3, 2026 to presentfactForm ADV
← Valentina Maria CanonacoAdvisorregistration: current employment
Aug 25, 2026 to presentfactForm ADV
← DAVID MARK PERRYAdvisorregistration: current employment
Aug 17, 2026 to presentfactForm ADV
← JOSHUA MATTHEW ROBINSONAdvisorregistration: current employment
Aug 17, 2026 to presentfactForm ADV
← Abraham WilsonAdvisorregistration: current employment
Aug 12, 2026 to presentfactForm ADV
← Colin Dane PerryAdvisorregistration: current employment
Aug 4, 2026 to presentfactForm ADV
← DANIEL BREIERAdvisorregistration: current employment
Jul 30, 2026 to presentfactForm ADV
← ARUN C KESWANIAdvisorregistration: current employment
Jul 21, 2026 to presentfactForm ADV
← GREGORY LEE FEESEAdvisorregistration: current employment
Jul 14, 2026 to presentfactForm ADV
← JOSEPH MERCADO KLOECKNERAdvisorregistration: current employment
Jul 7, 2026 to presentfactForm ADV
← JACQUELINE DANA ADLERAdvisorregistration: current employment
Jun 23, 2026 to presentfactForm ADV
← HARSH ARSHAD DEVAdvisorregistration: current employment
Jun 9, 2026 to presentfactForm ADV
← Zachary Zane BoydAdvisorregistration: current employment
Apr 14, 2026 to presentfactForm ADV
← EMMANUEL ROBLESAdvisorregistration: current employment
Mar 13, 2026 to presentfactForm ADV
← JEFFREY KENNETH SPOKASAdvisorregistration: current employment
Feb 5, 2026 to presentfactForm ADV
← JENNIFER HILARY CRAYAdvisorregistration: current employment
Jan 7, 2026 to presentfactForm ADV
← TATIANA ALEKSANDRA SUNIKAdvisorregistration: current employment
Jan 1, 2026 to presentfactForm ADV
← STEPHEN ANDREW SIDERSAdvisorregistration: current employment
Dec 15, 2025 to presentfactForm ADV
← Asher WithamAdvisorregistration: current employment
Dec 15, 2025 to presentfactForm ADV
← SANJAY Paul SHARMAAdvisorregistration: current employment
Nov 24, 2025 to presentfactForm ADV
← ROBERT FRANCIS FEZZAAdvisorregistration: current employment
Nov 14, 2025 to presentfactForm ADV
← Megan Wagner JanssenAdvisorregistration: current employment
Oct 10, 2025 to presentfactForm ADV
← JEFFREY ARNOLD BORENSTEINAdvisorregistration: current employment
Jul 22, 2025 to presentfactForm ADV
← Kevin Michael BensonAdvisorregistration: current employment
Jul 7, 2025 to presentfactForm ADV
← Mark David BulmerAdvisorregistration: current employment
Jul 1, 2025 to presentfactForm ADV
← Judith Malter RossettiAdvisorregistration: current employment
May 15, 2025 to presentfactForm ADV
← Andrew Paul SmithAdvisorregistration: current employment
Mar 3, 2025 to presentfactForm ADV
← JASON BRIAN LEALAdvisorregistration: current employment
Feb 21, 2025 to presentfactForm ADV
← MARVIN LEE PEPLOWAdvisorregistration: current employment
Jan 9, 2025 to presentfactForm ADV
← JEFFREY JAY BOGDANOVICHAdvisorregistration: current employment
Jan 2, 2025 to presentfactForm ADV
and 48 more

Affiliated with (2)

← INVESTOR'S CAPITAL MANAGEMENT, LLCRegistered adviserother investment adviser
factForm ADV
← LAMIA FINANCIAL GROUP, INC.Registered adviserother investment adviser, common control
factForm ADV

Dated events

4 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Dec 31, 2025
Team lift-out
2 advisors left Odyssey Personal Financial Advisors, LLC (Roswell, GA) for Forum Financial Management, LP on the same day
Form ADVobserved 4 days ago
2 advisors
Occurred
Jul 2, 2025
Team lift-out
2 advisors left Avantax Advisory Services (High Point, NC) for Forum Financial Management, LP on the same day
Form ADVobserved 4 days ago
2 advisors
Occurred
Jan 31, 2025
Team lift-out
2 advisors left Forum Financial Management, LP (Lombard, IL) for Bridge Generations Wealth Management on the same day
Form ADVobserved 4 days ago
2 advisors
Occurred
Jan 31, 2025
Advisor changed firm
Elisa Ray Schvaneveldt left Forum Financial Management, Lp for Bridge Generations Wealth Management (registered 2024-07-03)
Form ADVobserved 4 days ago
Occurred
Jan 31, 2025
Advisor changed firm
David Neil Smith left Forum Financial Management, Lp for Bridge Generations Wealth Management (registered 2024-07-25)
Form ADVobserved 4 days ago
Occurred
Jan 31, 2025
Advisor changed firm
Barbara Jean Ray left Forum Financial Management, Lp for Bridge Generations Wealth Management (registered 2024-07-03)
Form ADVobserved 4 days ago
Occurred
Aug 30, 2024
Advisor changed firm
Shequeta Rice left Forum Financial Management, Lp for The Mather Group, Llc (registered 2024-09-05)
Form ADVobserved 4 days ago
Occurred
Jul 31, 2024
Advisor changed firm
Mary Anne Ehlert left Forum Financial Management, Lp for Simplicity Wealth (registered 2024-04-17)
Form ADVobserved 4 days ago
Occurred
Mar 15, 2024
Control person left
Thomas Arvin Weindruch (Trustee) no longer on Schedule A of Forum Financial Management, Lp (listed 2024-02-13, absent 2024-03-15)
Form ADVobserved 4 days ago
Occurred
Mar 15, 2024
Control person left
Anne Mary Ehlert (Trustee) no longer on Schedule A of Forum Financial Management, Lp (listed 2024-02-13, absent 2024-03-15)
Form ADVobserved 4 days ago
Occurred
Mar 15, 2024
Control person left
Jean Barbara Ray (Trustee) no longer on Schedule A of Forum Financial Management, Lp (listed 2024-02-13, absent 2024-03-15)
Form ADVobserved 4 days ago
Occurred
Mar 15, 2024
Control person joined
Ann Julie Schatz (Limited Partner) appeared on Schedule A of Forum Financial Management, Lp
Form ADVobserved 4 days ago
Occurred
Mar 15, 2024
Control person joined
Hilary Jennifer Cray (Limited Partner) appeared on Schedule A of Forum Financial Management, Lp
Form ADVobserved 4 days ago
Occurred
Mar 15, 2024
Control person joined
Karl Eric Meier (Chief Financial Officer) appeared on Schedule A of Forum Financial Management, Lp
Form ADVobserved 4 days ago
Occurred
Feb 14, 2024
Team lift-out
2 advisors left MP Capital Management, Inc. (Sonora, CA) for Forum Financial Management, LP on the same day
Form ADVobserved 4 days ago
2 advisors
Occurred
Nov 7, 2023
Team lift-out
3 advisors left Forum Financial Management, LP (Frankfort, IL) for Lasalle ST. Investment Advisors, L.L.C. on the same day
Form ADVobserved 4 days ago
3 advisors
Occurred
Nov 7, 2023
Advisor changed firm
John Sciaccotta left Forum Financial Management, Lp for Lasalle St. Investment Advisors, L.L.C. (registered 2023-11-06)
Form ADVobserved 4 days ago
Occurred
Nov 7, 2023
Advisor changed firm
Richard Joseph Wilkens left Forum Financial Management, Lp for Lasalle St. Investment Advisors, L.L.C. (registered 2023-11-06)
Form ADVobserved 4 days ago
Occurred
Nov 7, 2023
Advisor changed firm
Joseph Demarco left Forum Financial Management, Lp for Lasalle St. Investment Advisors, L.L.C. (registered 2023-11-06)
Form ADVobserved 4 days ago
Occurred
Aug 1, 2023
Team lift-out
2 advisors left Investor'S Capital Management, LLC (Menlo Park, CA) for Forum Financial Management, LP on the same day
Form ADVobserved 4 days ago
2 advisors
Occurred
Feb 17, 2023
Control person joined
Joseph Daniel Drallmeier (Trustee) appeared on Schedule A of Forum Financial Management, Lp
Form ADVobserved 4 days ago
Occurred
Feb 17, 2023
Control person joined
Cotten David Mcclellan (Trustee) appeared on Schedule A of Forum Financial Management, Lp
Form ADVobserved 4 days ago
Occurred
Feb 17, 2023
Control person joined
Thomas Robert Methven (Trustee) appeared on Schedule A of Forum Financial Management, Lp
Form ADVobserved 4 days ago
Occurred
Feb 17, 2023
Control person left
Patricia Mary Wesche (Trustee) no longer on Schedule A of Forum Financial Management, Lp (listed 2023-01-12, absent 2023-02-17)
Form ADVobserved 4 days ago
Occurred
Jul 7, 2022
Control person left
Thomas Robert Methven (Limited Partner) no longer on Schedule A of Forum Financial Management, Lp (listed 2022-06-21, absent 2022-07-07)
Form ADVobserved 4 days ago
Occurred
Jul 7, 2022
Control person left
Joseph Daniel Drallmeier (Limited Partner) no longer on Schedule A of Forum Financial Management, Lp (listed 2022-06-21, absent 2022-07-07)
Form ADVobserved 4 days ago
Occurred
Jul 7, 2022
Advisor changed firm
Alexander Joseph Bartos left Forum Financial Management, Lp for Empirical Wealth Management (registered 2022-07-13)
Form ADVobserved 4 days ago
Occurred
Apr 6, 2022
Control person joined
Joseph Daniel Drallmeier (Limited Partner) appeared on Schedule A of Forum Financial Management, Lp
Form ADVobserved 4 days ago
Occurred
Mar 9, 2022
Control person left
Charles Alan Hambourger (Limited Partner) no longer on Schedule A of Forum Financial Management, Lp (listed 2022-02-28, absent 2022-03-09)
Form ADVobserved 4 days ago
Occurred
May 24, 2021
Control person joined
Shane Howard Kite (Limited Partner) appeared on Schedule A of Forum Financial Management, Lp
Form ADVobserved 4 days ago
Occurred
May 24, 2021
Control person left
Thomas Brian Savage (Limited Partner) no longer on Schedule A of Forum Financial Management, Lp (listed 2021-02-25, absent 2021-05-24)
Form ADVobserved 4 days ago
Occurred
Feb 3, 2021
Control person joined
Neil David Smith (Limited Partner) appeared on Schedule A of Forum Financial Management, Lp
Form ADVobserved 4 days ago
Occurred
Feb 3, 2021
Control person joined
Elizabeth Marie Stark (Limited Partner) appeared on Schedule A of Forum Financial Management, Lp
Form ADVobserved 4 days ago
Occurred
Mar 21, 2019
Control person left
Kurt Marcus Heinrich (Limited Partner) no longer on Schedule A of Forum Financial Management, Lp (listed 2018-12-13, absent 2019-03-21)
Form ADVobserved 4 days ago
Occurred
Mar 21, 2019
Control person joined
Anthony Christopher Lamia (Limited Partner) appeared on Schedule A of Forum Financial Management, Lp
Form ADVobserved 4 days ago
Occurred
Mar 21, 2019
Control person joined
Jean Barbara Ray (Limited Partner) appeared on Schedule A of Forum Financial Management, Lp
Form ADVobserved 4 days ago

Show 4 bookkeeping events

Occurred
Aug 17, 2026
Forum Financial Management, Lp reported 59 offices beyond its principal office, up from 54 (2026-07-06 to 2026-08-17)
Occurred
Mar 15, 2024
Forum Financial Management, Lp reported 48 offices beyond its principal office, up from 43 (2024-02-13 to 2024-03-15)
Occurred
Mar 21, 2019
Forum Financial Management, Lp reported 76 state-registered advisory representatives, up from 57 (2018-12-13 to 2019-03-21)
Occurred
Mar 21, 2019
Forum Financial Management, Lp reported 28 offices beyond its principal office, up from 23 (2018-12-13 to 2019-03-21)

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:2405846c-3434-9a8e-b2bf-d6bafbf66ded
First observed: Dec 21, 2011
Last observed: Sep 14, 2026 5 days ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

FORUM FINANCIAL MANAGEMENT, LP

CRD 145706

LOMBARD, IL

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:2405846c-3434-9a8e-b2bf-d6bafbf66ded

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 6:19 PM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

JOHN JOSEPH ADAM

Certified Financial Planner

LOMBARD, IL

MARCUS KURT HEINRICH

Certified Financial Planner

SAINT PETERSBURG, FL | LOMBARD, IL

JOSEPH ANTHONY SPOKAS

Certified Financial Planner|Personal Financial Specialist

LOMBARD, IL

yes

HOWARD SHANE KITE

Certified Financial Planner|Chartered Financial Consultant

LOMBARD, IL

ROBERT THOMAS METHVEN

n/a

LOMBARD, IL | MIDLOTHIAN, VA

LEON STEVEN KOLODZIEJ

n/a

SAINT CHARLES, IL | LOMBARD, IL

NORBERT MAC MINDEL

Certified Financial Planner

LOMBARD, IL | CAREFREE, AZ

WILLIAM ADAM FATES

n/a

Itasca, IL | LOMBARD, IL

n/a

ARVIN THOMAS WEINDRUCH

n/a

NORTHFIELD, IL | LOMBARD, IL

ALAN CHARLES HAMBOURGER

Certified Financial Planner

PONCE INLET, FL | LOMBARD, IL

MICHAEL SEVERIN KENNEDY

Certified Financial Planner

Oak Brook, IL

SUSAN REEDY WILLIAMS

n/a

Villa Park, IL | LOMBARD, IL

n/a

JAMES ARNOLD LAPERA

n/a

LOMBARD, IL

yes

MICHAEL WILLIAM KITE

n/a

LOMBARD, IL

n/a

yes

JONATHAN MARICHAL ROGERS

Certified Financial Planner

LOMBARD, IL

KARMA ANN FORRESTAL

Certified Financial Planner

LOMBARD, IL

MICHELLE ERIN WEINDRUCH

Certified Financial Planner

NORTHFIELD, IL | LOMBARD, IL

n/a

ALFRED ANDREW MARWEDE

n/a

Mequon, WI | LOMBARD, IL | LAKE FOREST, IL

CHRISTOPHER JOHN GENZLER

Certified Financial Planner

LOMBARD, IL

ANDREA JOY SCHREIBER

n/a

NAPERVILLE, IL | LOMBARD, IL

n/a

PAUL RAYMOND DRANICZAREK

n/a

WESTMONT, IL | LOMBARD, IL

DENNIS MICHAEL MICHON

n/a

Orland Park, IL | LOMBARD, IL

n/a

THOMAS ROBERT LONGO

n/a

LA GRANGE, IL | LOMBARD, IL

BRUCE JOHN SKRYD

n/a

LA GRANGE, IL | LOMBARD, IL

DENNIS JOSEPH WOJCICKI

n/a

ITASCA, IL | LOMBARD, IL

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

DAVIS, WILLIAM, MACKENZIE

CHIEF OPERATIONS OFFICER CO-CHIEF INVESTMENT OFFICER CO-CHIEF INVESTMENT OFFICER

yes

01/2019

Sep 14, 2026

TRONNES, ALLISON, ELIZABETH

CHIEF COMPLIANCE OFFICER

yes

01/2019

Sep 14, 2026

ADAM, JOHN, JOSEPH

Trustee

yes

07/2002

Dec 21, 2011

Dec 16, 2024

ALFRED ANDREW MARWEDE DECLARATION OF TRUST DATED NOVEMBER 30, 2018

LIMITED PARTNER

yes

08/2012

Mar 9, 2022

Dec 16, 2024

BATAVIA, NIRAV, RAJEN

CO-MANAGING PARTNER, CHIEF TECHNOLOGY OFFICER, & CO-CHIEF INVESTMENT OFFICER

yes

01/2015

Jan 14, 2015

Dec 16, 2024

BATAVIA, NIRAV, RAJEN

Trustee

yes

01/2015

Jan 14, 2015

Dec 16, 2024

CRAY, JENNIFER, HILARY

LIMITED PARTNER

yes

08/2023

Mar 15, 2024

Dec 16, 2024

DANIEL JOSEPH DRALLMEIER TRUST DATED APRIL 18, 2022

LIMITED PARTNER

yes

04/2022

Jul 7, 2022

Dec 16, 2024

DAVID C. MCLELLAN TRUST DATED NOVEMBER 12, 2003

LIMITED PARTNER

yes

07/2022

Jul 7, 2022

Dec 16, 2024

DRALLMEIER, DANIEL, JOSEPH

Trustee

yes

04/2022

Apr 6, 2022

Dec 16, 2024

FORRESTAL, KARMA, ANN

Trustee

yes

07/2016

Mar 8, 2017

Dec 16, 2024

JOHN J. ADAM AS TRUSTEE OF THE JOHN J. ADAM DECLARATION OF TRUST DATED FEBRUARY 14, 2007

LIMITED PARTNER

yes

07/2002

Mar 9, 2022

Dec 16, 2024

JONATHAN M. ROGERS, DECLARATION OF TRUST DATED NOVEMBER 30, 2011

LIMITED PARTNER

yes

01/2012

Mar 9, 2022

Dec 16, 2024

KARMA A. FORRESTAL TRUST DATED FEBRUARY 14, 2015

LIMITED PARTNER

yes

07/2016

Mar 9, 2022

Dec 16, 2024

KITE, HOWARD, SHANE

LIMITED PARTNER

yes

04/2021

May 24, 2021

Dec 16, 2024

LAMIA FAMILY TRUST DATED OCTOBER 8, 1999

LIMITED PARTNER

yes

11/2018

Mar 9, 2022

Dec 16, 2024

LAMIA, CHRISTOPHER, ANTHONY

Trustee

yes

11/2018

Mar 21, 2019

Dec 16, 2024

MARWEDE, ALFRED, ANDREW

Trustee

yes

08/2012

Aug 1, 2012

Dec 16, 2024

MCCLELLAN, DAVID, COTTEN

Trustee

yes

07/2022

Feb 17, 2023

Dec 16, 2024

MEIER, ERIC, KARL

CHIEF FINANCIAL OFFICER

yes

09/2023

Mar 15, 2024

Dec 16, 2024

METHVEN, ROBERT, THOMAS

Trustee

yes

07/2007

Dec 21, 2011

Dec 16, 2024

MINDEL, NORBERT, MAC

Trustee

yes

07/2002

Dec 21, 2011

Dec 16, 2024

NIRAV BATAVIA DECLARATION OF TRUST DATED MAY 15, 2007

LIMITED PARTNER

yes

01/2015

Mar 9, 2022

Dec 16, 2024

NORBERT M. MINDEL DECLARATION OF TRUST DATED APRIL 15, 2000

LIMITED PARTNER

yes

07/2002

Mar 9, 2022

Dec 16, 2024

NYBO, FAYE, HIZON

CHIEF LEGAL COUNSEL

yes

11/2017

Mar 13, 2018

Dec 16, 2024

ROBERT T. METHVEN TRUST DATED MAY 5, 2022

LIMITED PARTNER

yes

05/2022

Jul 7, 2022

Dec 16, 2024

ROGERS, JONATHAN, MARICHAL

CO-MANAGING PARTNER, CHIEF FINANCIAL OFFICER, & CO-CHIEF INVESTMENT OFFICER

yes

01/2012

Aug 6, 2014

Dec 16, 2024

ROGERS, JONATHAN, MARICHAL

Trustee

yes

01/2012

Aug 6, 2014

Dec 16, 2024

SCHATZ, JULIE, ANN

LIMITED PARTNER

yes

08/2023

Mar 15, 2024

Dec 16, 2024

SMITH, DAVID, NEIL

LIMITED PARTNER

yes

01/2021

Feb 3, 2021

Dec 16, 2024

STARK, MARIE, ELIZABETH

LIMITED PARTNER

yes

01/2021

Feb 3, 2021

Dec 16, 2024

F.A.M., LLC

GENERAL PARTNER

01/2014

Sep 14, 2026

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

AMANDA LYNN D'APRILE

n/a

ANDREA JOY SCHREIBER

n/a

BENJAMIN SCOTT SEVCIK

n/a

BRUCE JOHN SKRYD

n/a

DAVID DANIEL LENNON

n/a

DAVID EDWARD CAMPBELL

n/a

DEBRA ANN GARDI

n/a

DENNIS MICHAEL MICHON

n/a

HEIDI CHRISTA VERBISCER

n/a

JAMES ARNOLD LAPERA

n/a

JASON ALVERO FORRESTER

n/a

JOHN JOSEPH ADAM

n/a

JOSEPH ANTHONY SPOKAS

n/a

LINDA SUE PARKS

n/a

LOU ANN LISACK

n/a

LOUIS PEARSON BROWN

n/a

LOUIS PEARSON BROWN

n/a

MARIE ELIZABETH STARK

n/a

MARK R DONATELLI

n/a

MARK R DONATELLI

n/a

MARTIN GLENN POMREHN

n/a

MARVIN LEE PEPLOW

n/a

MARY ANNE EHLERT

n/a

MARY PATRICIA WESCHE

n/a

MATTHEW A. RAMOS

n/a

MATTHEW JOSEPH SPOKAS

n/a

MICHAEL GEORGE MOLES

n/a

MICHAEL WILLIAM KITE

n/a

PAUL RAYMOND DRANICZAREK

n/a

RICHARD DAVID JOHN HARIG

n/a

RONALD DWIGHT AUSTIN

n/a

STEPHEN ALBERT SENESAC

n/a

SUSAN REEDY WILLIAMS

n/a

THOMAS JOHN CAMPBELL

n/a

THOMAS ROBERT LONGO

n/a

WILLIAM ADAM FATES

n/a

WILLIAM ORRIN MORRISON, JR.

n/a

City

State

Country

Employees

Also broker-dealer

THOUSAND OAKS

United States

Cohoes

United States

SAINT CHARLES

United States

yes

MENLO PARK

United States

Sonora

United States

SOUTH MIAMI

United States

Lisle

United States

yes

Naperville

United States

Northfield

United States

OAK BROOK

United States

yes

ORLAND PARK

United States

Skokie

United States

Midlothian

United States

Mequon

United States

Scottsdale

United States

Denver

United States

Sarasota

United States

yes

Chicago

United States

Chicago

United States

yes

Chicago

United States

Itasca

United States

Joliet

United States

yes

LA GRANGE

United States

LAKE FOREST

United States

Manalapan

United States

RED BANK

United States

Ithaca

United States

Edmonds

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Apr 14, 2026

$8.7B

143

n/a

2024

Mar 31, 2025

$9.0B

140

n/a

2023

Mar 15, 2024

$8.5B

$8.4B

145

n/a

2022

Feb 17, 2023

$7.0B

$6.9B

125

n/a

2021

Mar 9, 2022

$7.4B

$7.3B

135

n/a

2020

Feb 3, 2021

$5.4B

$5.3B

118

n/a

2019

Feb 18, 2020

$4.5B

107

n/a

2018

Mar 21, 2019

$3.8B

n/a

2017

Mar 13, 2018

$3.3B

n/a

2016

Mar 8, 2017

$2.6B

n/a

2015

Feb 18, 2016

$2.0B

n/a

2014

Mar 9, 2015

$2.0B

n/a

2013

Feb 25, 2014

$1.6B

n/a

2012

Mar 25, 2013

$1.0B

$918M

n/a

2011

Mar 26, 2012

$713M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$8.7B

$9.0B

-3.8%

$7.0B

7.4%

143

140

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

BRIDGE GENERATIONS WEALTH MANAGEMENT

Jan 31, 2025

Jul 25, 2024

LOMBARD, IL

Team lift out

RIA to RIA

2.2%

LASALLE ST. INVESTMENT ADVISORS, L.L.C.

Nov 7, 2023

Nov 6, 2023

FRANKFORT, IL

Team lift out

RIA to ibd

3.4%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

ODYSSEY PERSONAL FINANCIAL ADVISORS, LLC

Dec 31, 2025

Dec 15, 2025

ROSWELL, GA

Team lift out

RIA to RIA

100.0%

AVANTAX ADVISORY SERVICES

Jul 2, 2025

Jul 7, 2025

HIGH POINT, NC

Team lift out

Ibd to RIA

0.1%

MP CAPITAL MANAGEMENT, INC.

Feb 14, 2024

Jan 1, 2025

SONORA, CA

Team lift out

Other

100.0%

INVESTOR'S CAPITAL MANAGEMENT, LLC

Aug 1, 2023

Jan 7, 2026

MENLO PARK, CA

Team lift out

RIA to RIA

100.0%

LAMIA FINANCIAL GROUP, INC.

Apr 2, 2019

Jul 22, 2025

THOUSAND OAKS, CA

Firm absorbed

RIA to RIA

100.0%

CETERA INVESTMENT ADVISERS LLC

Feb 17, 2015

Feb 13, 2015

ST CHARLES, IL

Team lift out

Other

0.2%