Forum Financial Management, Lp
SEC-registered
Wealth Manager · Mid-sized ($1B–$10B)
CRD 145706
· SEC file 801-69970
· Lombard, IL
· WWW.LINKEDIN.COM
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ADV data as of Jul 06, 2026
- Regulatory AUM
- $8.7B
- Discretionary
- $8.7B
- Clients
- 5,841
- Avg AUM / client
- $1.5M
- Accounts
- 19,838
- Employees
- 143
AUM over time
$649M
$9.0B
Dec 2011
Jul 2026
Annual snapshots from Form ADV filings · as of Jul 06, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 3,903 | $1.4B | 16.5% |
| High net worth individuals | 1,719 | $5.7B | 65.2% |
| Banking or thrift institutions | Fewer than 5 clients | — | — |
| Pension and profit sharing plans | 121 | $28.1M | 0.32% |
| Charitable organizations | 9 | $12.6M | 0.14% |
| State or municipal government entities | Fewer than 5 clients | — | — |
| Other investment advisers | 13 | $1.2B | 14.2% |
| Insurance companies | Fewer than 5 clients | — | — |
| Sovereign wealth funds and foreign official institutions | Fewer than 5 clients | — | — |
| Corporations and other businesses | 76 | $307M | 3.53% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Advocate Aurora Health 401(k) Plan Advocate Aurora Health, Inc | 2024 | |
| Genesis Health System Retirement Savings Plan Trinity Health Corporation | 2024 | |
| Mw&E Savings And Retirement Plan Mcdermott Will & Emery Llp | 2024 | |
| 401(k) Simplified Flexible Advisortrust, Inc. | 2024 |
People (114)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| John Joseph Adam | Trustee | CFP | Jul 2002 (24y) | GP / trustee / elected manager of John J. Adam As Trustee Of The John J. Adam Declaration Of Trust Dated February 14, 2007 (indirect) |
| Norbert Mac Mindel | Trustee | CFP | Jul 2002 (24y) | GP / trustee / elected manager of Norbert M. Mindel Declaration Of Trust Dated April 15, 2000 (indirect) |
| Robert Thomas Methven | Trustee | Jul 2007 (19y) | GP / trustee / elected manager of Robert T. Methven Trust Dated May 5, 2022 (indirect) | |
| Howard Shane Kite | Limited Partner | CFP Chartered Financial Consultant | Jun 2009 (17y) | Less than 5% |
| Jonathan Marichal Rogers | Trustee | CFP | Jan 2012 (15y) | Less than 5% |
| Karma Ann Forrestal | Trustee | CFP | Apr 2012 (14y) | GP / trustee / elected manager of Karma A. Forrestal Trust Dated February 14, 2015 (indirect) |
| Alfred Andrew Marwede | Trustee | Aug 2012 (14y) | GP / trustee / elected manager of Alfred Andrew Marwede Declaration Of Trust Dated November 30, 2018 (indirect) | |
| Nirav Rajen Batavia | Trustee | CFA | Sep 2014 (12y) | Less than 5% |
| Daniel Joseph Drallmeier | Trustee | CFP | Jan 2015 (12y) | GP / trustee / elected manager of Daniel Joseph Drallmeier Trust Dated April 18, 2022 (indirect) |
| David Cotten Mcclellan | Trustee | Aug 2015 (11y) | GP / trustee / elected manager of David C. Mclellan Trust Dated November 12, 2003 (indirect) | |
| Nybo, Faye, Hizon | Chief Legal Counsel | Nov 2017 (9y) | Less than 5% | |
| Christopher Anthony Lamia | Trustee | CFP | Oct 2018 (8y) | GP / trustee / elected manager of Lamia Family Trust Dated October 8, 1999 (indirect) |
| Tronnes, Allison, Elizabeth | Chief Compliance Officer | Jan 2019 (8y) | Less than 5% | |
| William Mackenzie Davis | Chief Operations Officer | CFP | Jan 2019 (8y) | Less than 5% |
| David Neil Smith | Limited Partner | CFP Chartered Financial Consultant | Jan 2021 (6y) | 5% – 10% |
| Marie Elizabeth Stark | Limited Partner | Jan 2021 (6y) | Less than 5% | |
| Julie Ann Schatz | Limited Partner | CFP | May 2023 (3y) | Less than 5% |
| Jennifer Hilary Cray | Limited Partner | CFP | Aug 2023 (3y) | Less than 5% |
| Meier, Eric, Karl | Chief Financial Officer | Sep 2023 (3y) | Less than 5% | |
| Marcus Kurt Heinrich | Registered representative | CFP | Mar 2009 (17y) | |
| Joseph Anthony Spokas | Registered representative | CFP Personal Financial Specialist | Mar 2009 (17y) | |
| Mary Patricia Wesche | Registered representative | CFP Personal Financial Specialist | Mar 2009 (17y) | |
| Leon Steven Kolodziej | Registered representative | Nov 2009 (17y) | ||
| William Adam Fates | Registered representative | Jan 2010 (17y) | ||
| Arvin Thomas Weindruch | Registered representative | Mar 2010 (16y) | ||
| Alan Charles Hambourger | Registered representative | CFP | Mar 2010 (16y) | |
| Michael Severin Kennedy | Registered representative | CFP | Aug 2010 (16y) | |
| Susan Reedy Williams | Registered representative | Sep 2010 (16y) | ||
| James Arnold Lapera | Registered representative | Jan 2012 (15y) | ||
| Michael William Kite | Registered representative | Jan 2012 (15y) | ||
| Michelle Erin Weindruch | Registered representative | CFP | Jul 2012 (14y) | |
| Christopher John Genzler | Registered representative | CFP | Aug 2012 (14y) | |
| Andrea Joy Schreiber | Registered representative | Oct 2012 (14y) | ||
| Paul Raymond Draniczarek | Registered representative | Nov 2012 (14y) | ||
| Dennis Michael Michon | Registered representative | Jan 2013 (14y) | ||
| Thomas Robert Longo | Registered representative | Apr 2013 (13y) | ||
| Bruce John Skryd | Registered representative | Apr 2013 (13y) | ||
| Dennis Joseph Wojcicki | Registered representative | Jul 2013 (13y) | ||
| David Daniel Lennon | Registered representative | Personal Financial Specialist | Oct 2013 (13y) | |
| Stephen Albert Senesac | Registered representative | Oct 2013 (13y) | ||
| Mark R Donatelli | Registered representative | Dec 2013 (13y) | ||
| Thomas John Campbell | Registered representative | Sep 2014 (12y) | ||
| Benjamin Scott Sevcik | Registered representative | CFP Personal Financial Specialist | Oct 2014 (12y) | |
| Lou Ann Lisack | Registered representative | Nov 2014 (12y) | ||
| Ryan Douglas Zink | Registered representative | CFP Chartered Financial Consultant | Feb 2015 (11y) | |
| William Orrin Morrison | Registered representative | Feb 2015 (11y) | ||
| Nicole Ann Campbell | Registered representative | CFP | Nov 2015 (11y) | |
| John William Vires | Registered representative | CFP CFA | Jan 2016 (11y) | |
| James David Huskin | Registered representative | CFP | Aug 2016 (10y) | |
| Martin Glenn Pomrehn | Registered representative | CFP Personal Financial Specialist | Sep 2016 (10y) | |
| Michael George Moles | Registered representative | Jan 2017 (10y) | ||
| Mark Jason Schmulen | Registered representative | Apr 2017 (9y) | ||
| Jeffrey Brian Doblin | Registered representative | CFP CFA | Jun 2017 (9y) | |
| Vincenzo Nardi | Registered representative | CFP | May 2018 (8y) | |
| Nedal Ziad Halawa | Registered representative | Chartered Financial Consultant | Aug 2018 (8y) | |
| Meghan M Nolan | Registered representative | CFP | Oct 2018 (8y) | |
| David Ward Seery | Registered representative | CFP | Oct 2018 (8y) | |
| Juan Carlos Ros | Registered representative | CFP | Oct 2018 (8y) | |
| Debra Ann Gardi | Registered representative | Jan 2019 (8y) | ||
| Megan Elizabeth Martin | Registered representative | Jan 2019 (8y) | ||
| Seth Matthew Stammler | Registered representative | CFP CFA | Jul 2019 (7y) | |
| Steven Roger Martin | Registered representative | CFP | Sep 2019 (7y) | |
| John Joseph Schultz | Registered representative | Sep 2019 (7y) | ||
| Luke Bernard Adam | Registered representative | CFP | Oct 2019 (7y) | |
| Heidi Christa Verbiscer | Registered representative | Dec 2019 (7y) | ||
| Eric Edward Hrebic | Registered representative | CFP | Jan 2020 (7y) | |
| Joseph Anthony Vogenthaler | Registered representative | Jul 2020 (6y) | ||
| Brian Joseph Shapiro | Registered representative | Sep 2020 (6y) | ||
| Brooks Carl White | Registered representative | CFP | Oct 2020 (6y) | |
| Amanda Lynn D'aprile | Registered representative | Apr 2021 (5y) | ||
| Eric Foster Mcginnis | Registered representative | May 2021 (5y) | ||
| Jack Stephen Grzenia | Registered representative | Jul 2021 (5y) | ||
| Christian Thomas Bradley | Registered representative | CFP | Aug 2021 (5y) | |
| Logan Taylor Sanders | Registered representative | CFP | Aug 2021 (5y) | |
| Samuel R. Williams | Registered representative | Aug 2021 (5y) | ||
| Steven John Minturn | Registered representative | CFA | Nov 2021 (5y) | |
| Kyle Stephen Schroeder | Registered representative | CFP | Nov 2021 (5y) | |
| Andrew Jason Alter | Registered representative | CFP Personal Financial Specialist | May 2022 (4y) | |
| Brian Thomas Savage | Registered representative | Jun 2022 (4y) | ||
| Ngoc The Sou | Registered representative | Aug 2022 (4y) | ||
| Tyler Hurst Smith | Registered representative | CFP | Oct 2022 (4y) | |
| Matthew Joseph Spokas | Registered representative | Oct 2022 (4y) | ||
| Linda Sue Parks | Registered representative | CFP | Oct 2022 (4y) | |
| Jessica Joan Haages | Registered representative | Mar 2023 (3y) | ||
| Zachary Henry Mindel | Registered representative | CFP | Apr 2023 (3y) | |
| Sage Vitale D'aprile | Registered representative | Jun 2023 (3y) | ||
| Laura Sandra Norek | Registered representative | Jan 2024 (3y) | ||
| Robert Ian Wurzburg | Registered representative | Jan 2024 (3y) | ||
| Richard David John Harig | Registered representative | Jan 2024 (3y) | ||
| Jason Gregory Pink | Registered representative | CFP | Mar 2024 (2y) | |
| Michal Martinek | Registered representative | Jul 2024 (2y) | ||
| Liam Kelly Methven | Registered representative | Nov 2024 (2y) | ||
| Brandon Lee Meyer | Registered representative | Jan 2025 (2y) | ||
| Jeffrey Jay Bogdanovich | Registered representative | Personal Financial Specialist | Jan 2025 (2y) | |
| Marvin Lee Peplow | Registered representative | Jan 2025 (2y) | ||
| Jason Brian Leal | Registered representative | Feb 2025 (1y) | ||
| Andrew Paul Smith | Registered representative | Mar 2025 (1y) | ||
| Judith Malter Rossetti | Registered representative | CFA | May 2025 (1y) | |
| Mark David Bulmer | Registered representative | CFP Personal Financial Specialist | Jul 2025 (1y) | |
| Kevin Michael Benson | Registered representative | Personal Financial Specialist | Jul 2025 (1y) | |
| Jeffrey Arnold Borenstein | Registered representative | Jul 2025 (1y) | ||
| Megan Wagner Janssen | Registered representative | Oct 2025 (1y) | ||
| Robert Francis Fezza | Registered representative | CFP | Nov 2025 (1y) | |
| Sanjay Paul Sharma | Registered representative | CFA | Nov 2025 (1y) | |
| Asher Witham | Registered representative | CFP | Dec 2025 (1y) | |
| Stephen Andrew Siders | Registered representative | CFP | Dec 2025 (1y) | |
| Tatiana Aleksandra Sunik | Registered representative | CFP | Jan 2026 (1y) | |
| Jeffrey Kenneth Spokas | Registered representative | Feb 2026 (0y) | ||
| Emmanuel Robles | Registered representative | Mar 2026 (0y) | ||
| Zachary Zane Boyd | Registered representative | Personal Financial Specialist | Apr 2026 (0y) | |
| Harsh Arshad Dev | Registered representative | Jun 2026 (0y) | ||
| Jacqueline Dana Adler | Registered representative | CFP | Jun 2026 (0y) | |
| Joseph Mercado Kloeckner | Registered representative | Jul 2026 (0y) | ||
| Gregory Lee Feese | Registered representative | Jul 2026 (0y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Norbert M. Mindel Declaration Of Trust Dated April 15, 2000 | Limited Partner | Jul 2002 | A | 10% – 25% |
| Jonathan M. Rogers, Declaration Of Trust Dated November 30, 2011 | Limited Partner | Jan 2012 | A | 10% – 25% |
| Nirav Batavia Declaration Of Trust Dated May 15, 2007 | Limited Partner | Jan 2015 | A | 10% – 25% |
| Lamia Family Trust Dated October 8, 1999 | Limited Partner | Nov 2018 | A | 10% – 25% |
| John J. Adam As Trustee Of The John J. Adam Declaration Of Trust Dated February 14, 2007 | Limited Partner | Jul 2002 | A | 5% – 10% |
| Alfred Andrew Marwede Declaration Of Trust Dated November 30, 2018 | Limited Partner | Aug 2012 | A | 5% – 10% |
| Karma A. Forrestal Trust Dated February 14, 2015 | Limited Partner | Jul 2016 | A | 5% – 10% |
| Robert T. Methven Trust Dated May 5, 2022 | Limited Partner | May 2022 | A | 5% – 10% |
| David C. Mclellan Trust Dated November 12, 2003 | Limited Partner | Jul 2022 | A | 5% – 10% |
| F.A.M., Llc | General Partner | Jan 2014 | A | Less than 5% |
| Daniel Joseph Drallmeier Trust Dated April 18, 2022 | Limited Partner | Apr 2022 | A | Less than 5% |
Undisclosed: 0% – 30% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Retirement plans served (4)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Advocate Aurora Health 401(k) Plan | Advocate Aurora Health, Inc | 83,445 | $10.5B | 01/01/2024 |
| Genesis Health System Retirement Savings Plan | Trinity Health Corporation | 4,699 | $361M | 01/01/2024 |
| Mw&E Savings And Retirement Plan | Mcdermott Will & Emery Llp | 1,979 | $1.4B | 01/01/2024 |
| 401(k) Simplified Flexible | Advisortrust, Inc. | 5,085 | $159M | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 07/06/2026 | 2.68 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
- • Pension consulting services
Custody
Reported custodians
- Charles Schwab & Co. $8.5B (97% of AUM) Jul 2026
- Fidelity Brokerage Services $110M (1% of AUM) Jul 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Jul 06, 2026.
View current Form ADV (SEC/IAPD) ↗