DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Forbes Financial Planning, Inc.
Latest filing Mar 30, 2026
First filing on the tape Dec 17, 2019 · 14 filings
SEC status approved since Jan 21, 2020
RAUM
$241M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$238M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$241M
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$241M as of Mar 30, 2026
Mar 29, 2021$143M then
HNW client RAUM$172M as of Mar 30, 2026
Mar 29, 2021$74.3M then
State-registered IARs (5.B.3)1 as of Mar 30, 2026
Mar 29, 20212 then
Employees (5.A)3 as of Mar 30, 2026
Mar 29, 20212 then
Private funds: no history
RAUM +23% over the last fiscal year+17% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $241MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 871derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $420,025derivedHNW RAUM over HNW clients
- Average account
- $271,185derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +23%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.8%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$172M72%
- Individuals$65.9M28%
- Individual clients
- 462reported
- HNW clients
- 409reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 887reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Daniel Patrick ForbesCertified Financial Planner | East Greenwich, Ri | Nov 5, 2009 | 23 y | 1 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
- Cole Stephen Mitchell to MML Investors Services, LLCJan 28, 2025 · RIA to affiliated broker-dealer or bank
- Susan E. Gardiner to Origin Investment Advisory LLCJul 19, 2022 · RIA to RIA
- Jane Elizabeth Mcauliffe to Axis Wealth Partners, LLCJun 7, 2017 · RIA to RIA
Joined, latest
- Jane Elizabeth Mcauliffe from Banc Of America Investment Services, Inc.Sep 17, 2015 · Other
- Daniel Patrick Forbes from Eagle Strategies LLCNov 5, 2009 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Patrick Daniel Forbes · President/Ccocontrolsince 03/2007 · owns 75% or more
Related persons
Schedule D 7.A
- Forbes Insurance Agency Inc.real estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| East Greenwich, Ri · principal | 1 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 867 to 887Mar 31, 2025 to Mar 30, 2026
- HNW clients · 329 to 409Mar 31, 2025 to Mar 30, 2026
- Individual clients · 518 to 462Mar 31, 2025 to Mar 30, 2026
- Assets in custody · $62.5M to $3.1MMar 31, 2025 to Mar 30, 2026
- Discretionary RAUM · $196M to $241MMar 31, 2025 to Mar 30, 2026
- HNW RAUM · $123M to $172MMar 31, 2025 to Mar 30, 2026
- Individual RAUM · $69.7M to $65.9MMar 31, 2025 to Mar 30, 2026
- RAUM · $196M to $241MMar 31, 2025 to Mar 30, 2026
- Accounts · 851 to 867Mar 29, 2024 to Mar 31, 2025
- Advisory employees · 2 to 1Mar 29, 2024 to Mar 31, 2025
- Charity clients · 0.0 to unsetMar 29, 2024 to Mar 31, 2025
- Corporate clients · 0.0 to unsetMar 29, 2024 to Mar 31, 2025
- HNW clients · 318 to 329Mar 29, 2024 to Mar 31, 2025
- Individual clients · 533 to 518Mar 29, 2024 to Mar 31, 2025
- Pension plan clients · 0.0 to unsetMar 29, 2024 to Mar 31, 2025
- Pooled vehicle clients · 0.0 to unsetMar 29, 2024 to Mar 31, 2025
- Assets in custody · $104M to $62.5MMar 29, 2024 to Mar 31, 2025
- Employees · 4 to 3Mar 29, 2024 to Mar 31, 2025
- Financial planning clients · 251-500 to 251-500Mar 29, 2024 to Mar 31, 2025
- State-registered IARs · 2 to 1Mar 29, 2024 to Mar 31, 2025
- Discretionary RAUM · $176M to $196MMar 29, 2024 to Mar 31, 2025
- HNW RAUM · $108M to $123MMar 29, 2024 to Mar 31, 2025
- Individual RAUM · $68.3M to $69.7MMar 29, 2024 to Mar 31, 2025
- RAUM · $176M to $196MMar 29, 2024 to Mar 31, 2025
- Accounts · 862 to 851Mar 31, 2023 to Mar 29, 2024
- HNW clients · 316 to 318Mar 31, 2023 to Mar 29, 2024
- Individual clients · 546 to 533Mar 31, 2023 to Mar 29, 2024
- Assets in custody · $20.8M to $104MMar 31, 2023 to Mar 29, 2024
- Discretionary RAUM · $152M to $176MMar 31, 2023 to Mar 29, 2024
- HNW RAUM · $91.1M to $108MMar 31, 2023 to Mar 29, 2024
- Individual RAUM · $60.6M to $68.3MMar 31, 2023 to Mar 29, 2024
- RAUM · $152M to $176MMar 31, 2023 to Mar 29, 2024
- Accounts · 800 to 862Mar 30, 2022 to Mar 31, 2023
- HNW clients · 239 to 316Mar 30, 2022 to Mar 31, 2023
- Individual clients · 554 to 546Mar 30, 2022 to Mar 31, 2023
- Pension plan clients · 7 to 0Mar 30, 2022 to Mar 31, 2023
- Assets in custody · $0 to $20.8MMar 30, 2022 to Mar 31, 2023
- Employees · 2 to 4Mar 30, 2022 to Mar 31, 2023
- Discretionary RAUM · $162M to $152MMar 30, 2022 to Mar 31, 2023
- HNW RAUM · $89.9M to $91.1MMar 30, 2022 to Mar 31, 2023
Signals
3 dated events
- Cole Stephen Mitchell left Forbes Financial Planning, Inc. for Mml Investors Services, Llc (registered 2025-04-09)Jan 28, 2025 · Advisor changed firm · fact
- Susan E. Gardiner left Forbes Financial Planning, Inc. for Origin Investment Advisory Llc (registered 2022-09-20)Jul 19, 2022 · Advisor changed firm · fact
- Forbes Financial Planning, Inc. filed its initial SEC registration (Form ADV)Dec 17, 2019 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business email
- sforbes@forbesplanning.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- thazel@forbesplanning.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 401-283-8362reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 401-885-7300reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/forbes-financial-planning-increportedpublic record, Form ADV, Sep 17, 2026
- Website
- FORBESPLANNING.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 401-885-7300reportedpublic record, Form ADV, Mar 30, 2026
- Contact form
- forbesplanning.com/contact-bedfordreportedpublished by the firm, firm site, Sep 16, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $241Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026