# Forum Financial Management

Forum Financial Management is a Bank / Wealth / Trust based in Lombard, United States.

## Overview

- **Organization type:** Bank / Wealth / Trust
- **Headquarters:** Lombard, United States
- **Region:** North America
- **Address:** Lombard, IL, United States
- **Founded:** 2009
- **Assets under management:** Undisclosed
- **Website:** forumfinancial.com
- **LinkedIn:** https://www.linkedin.com/company/forum-financial-management-llc

## Regulatory record

- **CRD number:** 145706
- **SEC file number:** 801-69970
- **Registration status:** APPROVED
- **Latest Form ADV filing:** 2026-05-19T05:00:00.000Z
- **Reports private funds:** No
- **Private funds reported:** 0
- **IAPD record:** https://adviserinfo.sec.gov/firm/summary/145706

## About

Forum Financial Management is an SEC-registered investment adviser in LOMBARD, IL, registered since 2009. The firm manages approximately $8.7 billion in regulatory assets. It has 143 employees and 94 investment advisers.

## Questions

### Is Forum Financial Management a fiduciary?

Yes. As a registered investment advisor, Forum Financial Management is legally bound to the fiduciary standard under the Investment Advisers Act of 1940. This means the firm must always prioritize client interests ahead of its own in all investment recommendations and advisory decisions.

### Does Forum Financial Management use proprietary investment products?

No. Forum operates as an independent RIA, constructing client portfolios from third-party mutual funds, ETFs, and separate account managers. This open-architecture approach avoids the conflicts inherent in selling proprietary funds or in-house products.

### What types of retirement plans does Forum advise?

Forum Financial Management provides consulting and fiduciary services to employer-sponsored retirement plans, including 401(k) plans, 403(b) plans, and profit-sharing arrangements. Services include investment menu design, participant education, and ongoing plan-level fiduciary oversight.

### Who are Forum Financial Management's typical clients?

The firm primarily serves high-net-worth individuals, families, and small-to-midsize business owners in the greater Chicago area. It also acts as an advisor to corporate retirement plans, offering plan-level investment and fiduciary services.

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Last updated: 2026-06-03T20:00:00.000Z

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