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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

FOREM INVESTMENTS LLC

CRD 169636

CORAL GABLES, FL

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:3075a131-2a34-b282-73de-973f3d3985a8

Data as of Oct 27, 2014 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 11:41 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 1
On other graphs: 0
Observed: Nov 11, 2013 to Oct 27, 2014
12 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: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $40.0MItem 5.F on the latest filing (2014-10-27); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $39.5M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 2
RAUM per advisor: $20.0Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 3
Advisory employees: 3
Accounts: 36
SEC number: 801-78817
CRD: 169636
Filings on the tape: 12
First filed: Nov 11, 2013
Latest filed: Oct 27, 2014
Organised: Limited Liability Company, Florida

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
FREDDY JOSE MARTINEZ	Certified Financial Planner	CORAL GABLES, FL	12	28	3	no
Michele Alessandro Di Carlo	n/a	Caracas \| CORAL GABLES, FL	0	20	n/a	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
MARTINEZ, FREDDY, JOSE	CEO/CCO	E	yes	11/2013	Nov 11, 2013	Oct 27, 2014
ROBLEDO, JOHANNA, ANDREA	Director	B	yes	02/2014	Feb 3, 2014	Oct 27, 2014

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

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2013	Feb 3, 2014	$0	$0	2	2	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
0	0	0	0.0%	0	0	0	0	0

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
2013	$40.0M	n/a	n/a	n/a	n/a	3	n/a	n/a	n/a

Relationships

Registered with (5)

← Michele Alessandro Di CarloAdvisorregistration: current employment
Nov 7, 2025 to presentfactForm ADV
← FREDDY JOSE MARTINEZAdvisorregistration: current employment
Apr 21, 2014 to presentfactForm ADV
← RODNEY R RINCONAdvisorregistration: previous registration
Sep 18, 2019 to Jun 21, 2021factForm ADV
← JOHANNA ANDREA ROBLEDOAdvisorregistration: previous registration
Oct 27, 2014 to Aug 27, 2018factForm ADV
← ALEJANDRO M GUARDIOLAAdvisorregistration: previous registration
Oct 1, 2014 to Jan 2, 2015factForm ADV

Controls (2)

← MARTINEZ, FREDDY, JOSEOwnerCEO/CCO, ownership code E, individual
Nov 11, 2013 to presentfactForm ADV
← ROBLEDO, JOHANNA, ANDREAOwnerDIRECTOR, ownership code B, individual
Feb 3, 2014 to presentfactForm ADV

Dated events

Occurred
Nov 11, 2013
First Form ADV filing
Forem Investments Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3075a131-2a34-b282-73de-973f3d3985a8
First observed: Nov 11, 2013
Last observed: Oct 27, 2014 144 months 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.

FOREM INVESTMENTS LLC

CRD 169636

CORAL GABLES, FL

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:3075a131-2a34-b282-73de-973f3d3985a8

Data as of Oct 27, 2014 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 11:41 PM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

FREDDY JOSE MARTINEZ

Certified Financial Planner

CORAL GABLES, FL

Michele Alessandro Di Carlo

n/a

Caracas | CORAL GABLES, FL

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

MARTINEZ, FREDDY, JOSE

CEO/CCO

yes

11/2013

Nov 11, 2013

Oct 27, 2014

ROBLEDO, JOHANNA, ANDREA

Director

yes

02/2014

Feb 3, 2014

Oct 27, 2014

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2013

Feb 3, 2014

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

2013

$40.0M

n/a