Forum Private Client Group LLC (Fishers)

Name: Forum Private Client Group LLC
Address: 11313 Usa Parkway, Fishers, IN, 46037 0000
Telephone: 317-558-6322

Forum Private Client Group LLC is a large advisory firm based in Fishers. It manages $160.27 million of regulatory assets for 846 client accounts. It has been registered with the SEC as an adviser since 2010 and has operated in the jurisdictions of Florida, Indiana, and Texas.

Forum Private Client Group provides financial planning services, portfolio management for individuals and small businesses, and educational seminars and workshops. It prepares financial plans for more than 50 clients. On top of advisory services, the firm doesn't engage in other business activities.

Forum Private Client Group: assets under management

The assets under management (AUM) of Forum Private Client Group LLC is $160.27 million. The company doesn't manage any assets belonging to foreign clients.

Forum Private Client Group has custody of $165.69 million in cash and securities for 791 clients in total but doesn’t act as a qualified custodian.

Investments

The firm invests in other assets the most. They account for 45% of the total AUM. The second-largest asset type is exchange traded securities, which make up 25% of the firm’s portfolio. Investments in non-investment grade corporate bonds form 5% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Forum Private Client Group LLC for their services and products based on a percentage of assets under management, hourly charges, and fixed fees. Hourly charges are usually charged for consulting work and special projects. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Forum Private Client Group serves?

The firm provides services to individuals, high net worth individuals, and corporations or other businesses. The largest group of clients of Forum Private Client Group is individuals with 355 clients and $103.6 million of assets under management. Among the 9 most similar advisory firms, Forum Private Client Group has the 2nd highest percentage of individuals out of all clients.

The amount of regulatory assets under management is $160.27 million for 396 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

Forum Private Client Group doesn't advise any private funds.

Careers at Forum Private Client Group LLC

The company employs 5 people that are either part- or full-time employees. 80 percent of the employees work as investment advisers or researchers. 3 employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Forum Credit Union	Managing member	1 Jul 2006	75% - 100%	35-0779057
Richard Joseph Ridenour	Chief compliance officer / manager	1 Feb 2010	Other	3165629
Gery Joseph Sadzewicz	Chief compliance officer	1 Dec 2017	Other	1090963

Based in Fishers

The principal office where Forum Private Client Group LLC performs its advisory services is located at 11313 Usa Parkway, Fishers, IN 46037 0000 The mailing address of the firm is P.O. Box 56036, Indianapolis, IN 46256. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 317-558-6322 or by fax 317-558-6320. The normal business hours are 8:00 am to 5:00 pm on Monday - Friday. You can find more information about the New York firm at forumpcg.com.