Forum Financial Management, LP — 13F Holdings & Portfolio
CIK 1911832 · latest 13F-HR filed 2026-10-16
Forum Financial Management, LP manages $7.70B in 13F-reported U.S. long-equity assets across 408 reported positions as of its 2026-09-30 13F-HR filing. Its largest disclosed positions are DFAC (23.33%), TLH (11.66%), DFAT (8.52%). Quarter over quarter (versus its 2026-06-30 filing) the fund opened 21 new positions and exited 31; 77 existing positions rose in reported value and 117 fell.
AUM is the long-equity portion reported on Form 13F-HR. Excludes short positions, cash, foreign holdings, and non-13F assets. For informational purposes only — not investment advice.
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AUM
$7.70B
Long-equity book
Holdings
408
Distinct positions
Period
2026-09-30
Filed 2026-10-16
Q/Q Activity
+21 / −31 / ↑77 / ↓117
vs 2026-06-30
Portfolio charts
Latest quarter's book, what changed, and how the portfolio has evolved across filings.
Portfolio map
Q3 26DFAC24.7% · +1%TLH12.3% · +6%DFAT9.0% · +0%DFEM8.2% · +1%DFIC8.2% · +1%DFGR6.5% · +3%DFGP4.8% · +5%DUHP4.8% · +2%DISV3.2% · +0%DIHP2.8% · +1%AMGN1.9% · -0%DFUS1.2% · -2%AAPL1.1% · -1%DFUV0.8% · -3%VGLT0.5% · +20%DFAX0.5% · -1%GOOG0.5% · +5%GOOGL0.4% · +2%MSFT0.3% · +7%HYD0.3% · -59%VTEB0.3% · -60%DFSU0.3% · +7%DFIV0.3% · -1%DFSE0.2% · +0%BSVO0.2% · -0%META0.2% · +0%VGSR0.2% · +3%NVDA0.2% · -8%ABBV0.2% · -0%AMZN0.2% · +4%OKE0.2% · 0%DFSI0.2% · +2%SPY0.2% · +1%JPM0.1% · -2%DFAS0.1% · -4%VOO0.1% · +0%DFAR0.1% · -1%VTI0.1% · +5%DE0.1% · -0%ET0.1% · -1%IWF0.1% · -2%IVV0.1% · +4%OUNZ0.1% · 0%LLY0.1% · +0%OSBC0.1% · +15%SHV0.1% · +53%TBIL0.1% · +6%VUG0.1% · +11%DFSV0.1% · -3%XOM0.1% · -6%VEA0.1% · +2%DFCF0.1% · -12%QQQ0.1% · -2%AVGO0.1% · +2%BSM0.1% · 0%WMT0.1% · -3%MAR0.1% · 0%XLK0.1% · -2%CBOE0.1% · 0%VTIP0.0% · +19%
Box size = position value; colour = change in share count vs the prior quarter (green added, red trimmed, blue new). Rows split across managers or share classes are combined. Click a box for the stock.
Sector mix
% of 13F valueSectors from each company's SIC code; funds and ETFs grouped separately.
Biggest buys and sells
Q2 26 → Q3 26Estimated from the change in shares held × the quarter-end price, so price moves alone don't count as buying. New and exited positions are included.
13F assets and positions
4 quartersTotal reported 13F value (bars) and number of positions (line) each quarter. Value changes include market moves.
Top positions over time
reported valueThe eight largest current positions, valued at each quarter end.
Concentration
top 10 = 84.5%Cumulative share of the portfolio held in the largest N positions.
Firm Profile & Key People
As of the firm’s regulatory filing dated Sep 14, 2026.
Assets Under Management
$8.69B
Discretionary
$8.69B
Employees
143
Accounts
19,838
Address
1900 SOUTH HIGHLAND AVENUE
SUITE 100
LOMBARD, IL 60148
SUITE 100
LOMBARD, IL 60148
Phone
(630) 873-8520
| Name | Title / Status | Ownership | Type |
|---|---|---|---|
| ALFRED ANDREW MARWEDE DECLARATION OF TRUST DATED NOVEMBER 30, 2018 Control | LIMITED PARTNER since Aug 2012 | 5–10% | Domestic Entity |
| BATAVIA, NIRAV, RAJEN Control | CO-MANAGING PARTNER & CO-CHIEF INVESTMENT OFFICER since Jan 2015 | Less than 5% | Individual |
| DAVID C. MCLELLAN TRUST DATED NOVEMBER 12, 2003 Control | LIMITED PARTNER since Jul 2022 | 5–10% | Domestic Entity |
| DAVIS, WILLIAM, MACKENZIE Control | CHIEF OPERATIONS OFFICER since Jan 2019 | Less than 5% | Individual |
| JOHN J. ADAM AS TRUSTEE OF THE JOHN J. ADAM DECLARATION OF TRUST DATED FEBRUARY 14, 2007 Control | LIMITED PARTNER since Jul 2002 | 5–10% | Domestic Entity |
| JONATHAN M. ROGERS, DECLARATION OF TRUST DATED NOVEMBER 30, 2011 Control | LIMITED PARTNER since Jan 2012 | 5–10% | Domestic Entity |
| KARMA A. FORRESTAL TRUST DATED FEBRUARY 14, 2015 Control | LIMITED PARTNER since Jul 2016 | 5–10% | Domestic Entity |
| LAMIA FAMILY TRUST DATED OCTOBER 8, 1999 Control | LIMITED PARTNER since Nov 2018 | 10–25% | Domestic Entity |
| NIRAV BATAVIA DECLARATION OF TRUST DATED MAY 15, 2007 Control | LIMITED PARTNER since Jan 2015 | 10–25% | Domestic Entity |
| NORBERT M. MINDEL DECLARATION OF TRUST DATED APRIL 15, 2000 Control | LIMITED PARTNER since Jul 2002 | 10–25% | Domestic Entity |
| ROGERS, JONATHAN, MARICHAL Control | CO-MANAGING PARTNER & CO-CHIEF INVESTMENT OFFICER since Jan 2012 | Less than 5% | Individual |
| TRONNES, ALLISON, ELIZABETH Control | CHIEF COMPLIANCE OFFICER since Jan 2019 | Less than 5% | Individual |
| F.A.M., LLC | GENERAL PARTNER since Jan 2014 | Less than 5% | Domestic Entity |
| ADAM, JOHN, JOSEPH Control Indirect owner via JOHN J. ADAM AS TRUSTEE OF THE JOHN J. ADAM DECLARATION OF TRUST DATED FEBRUARY 14, 2007 | TRUSTEE since Jul 2002 | General partner, trustee or manager | Individual |
| BATAVIA, NIRAV, RAJEN Control Indirect owner via NIRAV BATAVIA DECLARATION OF TRUST DATED MAY 15, 2007 | TRUSTEE since Jan 2015 | General partner, trustee or manager | Individual |
| FORRESTAL, KARMA, ANN Control Indirect owner via KARMA A. FORRESTAL TRUST DATED FEBRUARY 14, 2015 | TRUSTEE since Jul 2016 | General partner, trustee or manager | Individual |
| LAMIA, CHRISTOPHER, ANTHONY Control Indirect owner via LAMIA FAMILY TRUST DATED OCTOBER 8, 1999 | TRUSTEE since Nov 2018 | General partner, trustee or manager | Individual |
| MARWEDE, ALFRED, ANDREW Control Indirect owner via ALFRED ANDREW MARWEDE DECLARATION OF TRUST DATED NOVEMBER 30, 2018 | TRUSTEE since Aug 2012 | General partner, trustee or manager | Individual |
| MCCLELLAN, DAVID, COTTEN Control Indirect owner via DAVID C. MCLELLAN TRUST DATED NOVEMBER 12, 2003 | TRUSTEE since Jul 2022 | General partner, trustee or manager | Individual |
| MINDEL, NORBERT, MAC Control Indirect owner via NORBERT M. MINDEL DECLARATION OF TRUST DATED APRIL 15, 2000 | TRUSTEE since Jul 2002 | General partner, trustee or manager | Individual |
| ROGERS, JONATHAN, MARICHAL Control Indirect owner via JONATHAN M. ROGERS, DECLARATION OF TRUST DATED NOVEMBER 30, 2011 | TRUSTEE since Jan 2012 | General partner, trustee or manager | Individual |
Ownership & leadership changes · 21 filings with changes since Dec 21, 2011
From the firm’s regulatory filings, newest first. Dates are filing dates: a filing that no longer lists someone does not say when they left.
Mar 28, 2026 filing
- No longer listedMETHVEN, ROBERT, THOMAS · TRUSTEE · General partner, trustee or manager · indirect via ROBERT T. METHVEN TRUST DATED MAY 5, 2022 · control person · listed since Jul 2007
- No longer listedROBERT T. METHVEN TRUST DATED MAY 5, 2022 · LIMITED PARTNER · 5–10% · control person · listed since May 2022
- ChangedBATAVIA, NIRAV, RAJEN · title CO-MANAGING PARTNER, CHIEF TECHNOLOGY OFFICER, & CO-CHIEF INVESTMENT OFFICER → CO-MANAGING PARTNER & CO-CHIEF INVESTMENT OFFICER
Mar 31, 2025 filing
- No longer listedCRAY, JENNIFER, HILARY · LIMITED PARTNER · Less than 5% · control person · listed since Aug 2023
- No longer listedDANIEL JOSEPH DRALLMEIER TRUST DATED APRIL 18, 2022 · LIMITED PARTNER · Less than 5% · control person · listed since Apr 2022
- No longer listedDRALLMEIER, DANIEL, JOSEPH · TRUSTEE · General partner, trustee or manager · indirect via DANIEL JOSEPH DRALLMEIER TRUST DATED APRIL 18, 2022 · control person · listed since Apr 2022
- No longer listedKITE, HOWARD, SHANE · LIMITED PARTNER · Less than 5% · control person · listed since Apr 2021
- No longer listedMEIER, ERIC, KARL · CHIEF FINANCIAL OFFICER · Less than 5% · control person · listed since Sep 2023
- No longer listedNYBO, FAYE, HIZON · CHIEF LEGAL COUNSEL · Less than 5% · control person · listed since Nov 2017
- No longer listedSCHATZ, JULIE, ANN · LIMITED PARTNER · Less than 5% · control person · listed since Aug 2023
- No longer listedSMITH, DAVID, NEIL · LIMITED PARTNER · 5–10% · control person · listed since Jan 2021
- No longer listedSTARK, MARIE, ELIZABETH · LIMITED PARTNER · Less than 5% · control person · listed since Jan 2021
- ChangedJONATHAN M. ROGERS, DECLARATION OF TRUST DATED NOVEMBER 30, 2011 · ownership 10–25% → 5–10%
- ChangedROGERS, JONATHAN, MARICHAL · title CO-MANAGING PARTNER, CHIEF FINANCIAL OFFICER, & CO-CHIEF INVESTMENT OFFICER → CO-MANAGING PARTNER & CO-CHIEF INVESTMENT OFFICER
Jun 24, 2024 filing
- No longer listedARVIN T. WEINDRUCH DECLARATION OF TRUST DATED SEPTEMBER 9, 2018 · LIMITED PARTNER · Less than 5% · control person · listed since Mar 2010
- No longer listedBARBARA JEAN RAY FAMILY TRUST DATED JULY 6, 2001 · LIMITED PARTNER · Less than 5% · control person · listed since Nov 2018
- No longer listedMARY ANNE EHLERT TRUST DATED JUNE 21, 1991 · LIMITED PARTNER · 5–10% · control person · listed since Apr 2014
Mar 15, 2024 filing
- No longer listedEHLERT, MARY, ANNE · TRUSTEE · General partner, trustee or manager · indirect via MARY ANNE EHLERT TRUST DATED JUNE 21, 1991 · control person · listed since Apr 2014
- No longer listedRAY, BARBARA, JEAN · TRUSTEE · General partner, trustee or manager · indirect via BARBARA JEAN RAY FAMILY TRUST DATED JULY 6, 2001 · control person · listed since Nov 2018
- No longer listedWEINDRUCH, ARVIN, THOMAS · TRUSTEE · General partner, trustee or manager · indirect via ARVIN T. WEINDRUCH DECLARATION OF TRUST DATED SEPTEMBER 9, 2018 · control person · listed since Mar 2010
- AddedCRAY, JENNIFER, HILARY · LIMITED PARTNER · Less than 5% · control person
- AddedMEIER, ERIC, KARL · CHIEF FINANCIAL OFFICER · Less than 5% · control person
- AddedSCHATZ, JULIE, ANN · LIMITED PARTNER · Less than 5% · control person
- Listed againBATAVIA, NIRAV, RAJEN · CO-MANAGING PARTNER, CHIEF TECHNOLOGY OFFICER, & CO-CHIEF INVESTMENT OFFICER · Less than 5% · control person
- Listed againROGERS, JONATHAN, MARICHAL · CO-MANAGING PARTNER, CHIEF FINANCIAL OFFICER, & CO-CHIEF INVESTMENT OFFICER · Less than 5% · control person
- ChangedDAVID C. MCLELLAN TRUST DATED NOVEMBER 12, 2003 · ownership Less than 5% → 5–10%
- ChangedJONATHAN M. ROGERS, DECLARATION OF TRUST DATED NOVEMBER 30, 2011 · title LIMITED PARTNER/CO-MANAGINGPARTNER/CHIEF FINANCIAL OFFICER/CO-CHIEF INVESTMENT OFFICER → LIMITED PARTNER
- ChangedNIRAV BATAVIA DECLARATION OF TRUST DATED MAY 15, 2007 · title LIMITED PARTNER/CO-MANAGINGPARTNER/CHIEF TECHNOLOGYOFFICER/CO-CHIEF INVESTMENT OFFICER → LIMITED PARTNER
Feb 17, 2023 filing
- No longer listedMARY PAT WESCHE DECLARATION OF TRUST DATED APRIL 15, 2007 · LIMITED PARTNER · 5–10% · control person · listed since Aug 2005
- No longer listedWESCHE, MARY, PATRICIA · TRUSTEE · General partner, trustee or manager · indirect via MARY PAT WESCHE DECLARATION OF TRUST DATED APRIL 15, 2007 · control person · listed since Aug 2005
- AddedDRALLMEIER, DANIEL, JOSEPH · TRUSTEE · General partner, trustee or manager · indirect via DANIEL JOSEPH DRALLMEIER TRUST DATED APRIL 18, 2022 · control person
- AddedMCCLELLAN, DAVID, COTTEN · TRUSTEE · General partner, trustee or manager · indirect via DAVID C. MCLELLAN TRUST DATED NOVEMBER 12, 2003 · control person
- AddedMETHVEN, ROBERT, THOMAS · TRUSTEE · General partner, trustee or manager · indirect via ROBERT T. METHVEN TRUST DATED MAY 5, 2022 · control person
- ChangedKARMA A. FORRESTAL TRUST DATED FEBRUARY 14, 2015 · ownership Less than 5% → 5–10%
- ChangedNORBERT M. MINDEL DECLARATION OF TRUST DATED APRIL 15, 2000 · ownership 5–10% → 10–25%
- ChangedROBERT T. METHVEN TRUST DATED MAY 5, 2022 · ownership Less than 5% → 5–10%
- ChangedSMITH, DAVID, NEIL · ownership Less than 5% → 5–10%
Jul 7, 2022 filing
- No longer listedDRALLMEIER, DANIEL, JOSEPH · LIMITED PARTNER · Less than 5% · control person · listed since Apr 2022
- No longer listedMETHVEN, ROBERT, THOMAS · LIMITED PARTNER · Less than 5% · control person · listed since Jul 2007
- AddedDANIEL JOSEPH DRALLMEIER TRUST DATED APRIL 18, 2022 · LIMITED PARTNER · Less than 5% · control person
- AddedDAVID C. MCLELLAN TRUST DATED NOVEMBER 12, 2003 · LIMITED PARTNER · Less than 5% · control person
- AddedROBERT T. METHVEN TRUST DATED MAY 5, 2022 · LIMITED PARTNER · Less than 5% · control person
Apr 6, 2022 filing
- AddedDRALLMEIER, DANIEL, JOSEPH · LIMITED PARTNER · Less than 5% · control person
Mar 9, 2022 filing
- No longer listedADAM, JOHN, JOSEPH · LIMITED PARTNER · 5–10% · control person · listed since Jul 2002
- No longer listedBATAVIA, NIRAV, RAJEN · LIMITED PARTNER/CO-MANAGING PARTNER/CHIEF TECHNOLOGY OFFICER/CO-CHIEF INVESTMENT OFFICER · 10–25% · control person · listed since Jan 2015
- No longer listedEHLERT, MARY, ANNE · LIMITED PARTNER · 5–10% · control person · listed since Apr 2014
- No longer listedFORRESTAL, KARMA, ANN · LIMITED PARTNER · Less than 5% · control person · listed since Jul 2016
- No longer listedHAMBOURGER, ALAN, CHARLES · LIMITED PARTNER · 10–25% · control person · listed since Mar 2010
- No longer listedLAMIA, CHRISTOPHER, ANTHONY · LIMITED PARTNER · 10–25% · control person · listed since Nov 2018
- No longer listedMARWEDE, ALFRED, ANDREW · LIMITED PARTNER · 5–10% · control person · listed since Aug 2012
- No longer listedMINDEL, NORBERT, MAC · LIMITED PARTNER · 5–10% · control person · listed since Jul 2002
- No longer listedRAY, BARBARA, JEAN · LIMITED PARTNER · Less than 5% · control person · listed since Nov 2018
- No longer listedROGERS, JONATHAN, MARICHAL · LIMITED PARTNER/CO-MANAGING PARTNER/CHIEF FINANCIAL OFFICER/CO-CHIEF INVESTMENT OFFICER · 10–25% · control person · listed since Jan 2012
- No longer listedWEINDRUCH, ARVIN, THOMAS · LIMITED PARTNER · Less than 5% · control person · listed since Mar 2010
- No longer listedWESCHE, MARY, PATRICIA · LIMITED PARTNER · 5–10% · control person · listed since Aug 2005
- AddedADAM, JOHN, JOSEPH · TRUSTEE · General partner, trustee or manager · indirect via JOHN J. ADAM AS TRUSTEE OF THE JOHN J. ADAM DECLARATION OF TRUST DATED FEBRUARY 14, 2007 · control person
- AddedALFRED ANDREW MARWEDE DECLARATION OF TRUST DATED NOVEMBER 30, 2018 · LIMITED PARTNER · 5–10% · control person
- AddedARVIN T. WEINDRUCH DECLARATION OF TRUST DATED SEPTEMBER 9, 2018 · LIMITED PARTNER · Less than 5% · control person
- AddedBARBARA JEAN RAY FAMILY TRUST DATED JULY 6, 2001 · LIMITED PARTNER · Less than 5% · control person
- AddedBATAVIA, NIRAV, RAJEN · TRUSTEE · General partner, trustee or manager · indirect via NIRAV BATAVIA DECLARATION OF TRUST DATED MAY 15, 2007 · control person
- AddedEHLERT, MARY, ANNE · TRUSTEE · General partner, trustee or manager · indirect via MARY ANNE EHLERT TRUST DATED JUNE 21, 1991 · control person
- AddedFORRESTAL, KARMA, ANN · TRUSTEE · General partner, trustee or manager · indirect via KARMA A. FORRESTAL TRUST DATED FEBRUARY 14, 2015 · control person
- AddedJOHN J. ADAM AS TRUSTEE OF THE JOHN J. ADAM DECLARATION OF TRUST DATED FEBRUARY 14, 2007 · LIMITED PARTNER · 5–10% · control person
- AddedJONATHAN M. ROGERS, DECLARATION OF TRUST DATED NOVEMBER 30, 2011 · LIMITED PARTNER/CO-MANAGINGPARTNER/CHIEF FINANCIAL OFFICER/CO-CHIEF INVESTMENT OFFICER · 10–25% · control person
- AddedKARMA A. FORRESTAL TRUST DATED FEBRUARY 14, 2015 · LIMITED PARTNER · Less than 5% · control person
- AddedLAMIA FAMILY TRUST DATED OCTOBER 8, 1999 · LIMITED PARTNER · 10–25% · control person
- AddedLAMIA, CHRISTOPHER, ANTHONY · TRUSTEE · General partner, trustee or manager · indirect via LAMIA FAMILY TRUST DATED OCTOBER 8, 1999 · control person
- AddedMARWEDE, ALFRED, ANDREW · TRUSTEE · General partner, trustee or manager · indirect via ALFRED ANDREW MARWEDE DECLARATION OF TRUST DATED NOVEMBER 30, 2018 · control person
- and 9 more
May 24, 2021 filing
- No longer listedSAVAGE, BRIAN, THOMAS · LIMITED PARTNER · Less than 5% · control person · listed since Sep 2007
- AddedKITE, HOWARD, SHANE · LIMITED PARTNER · Less than 5% · control person
Feb 3, 2021 filing
- AddedSMITH, DAVID, NEIL · LIMITED PARTNER · Less than 5% · control person
- AddedSTARK, MARIE, ELIZABETH · LIMITED PARTNER · Less than 5% · control person
- ChangedFORRESTAL, KARMA, ANN · ownership 5–10% → Less than 5%
- ChangedLAMIA, CHRISTOPHER, ANTHONY · ownership 5–10% → 10–25%
- ChangedMINDEL, NORBERT, MAC · ownership 10–25% → 5–10%
Older changes (12 more filings)
Feb 18, 2020 filing
- ChangedMARWEDE, ALFRED, ANDREW · ownership Less than 5% → 5–10%
Mar 21, 2019 filing
- No longer listedHEINRICH, MARCUS, KURT · LIMITED PARTNER · 10–25% · control person · listed since Jul 2002
- AddedDAVIS, WILLIAM, MACKENZIE · CHIEF OPERATIONS OFFICER · Less than 5% · control person
- AddedLAMIA, CHRISTOPHER, ANTHONY · LIMITED PARTNER · 5–10% · control person
- AddedRAY, BARBARA, JEAN · LIMITED PARTNER · Less than 5% · control person
- AddedTRONNES, ALLISON, ELIZABETH · CHIEF COMPLIANCE OFFICER · Less than 5% · control person
- ChangedBATAVIA, NIRAV, RAJEN · title LIMITED PARTNER/CHIEF TECHNOLOGY OFFICER/CO-CHIEF INVESTMENT OFFICER → LIMITED PARTNER/CO-MANAGING PARTNER/CHIEF TECHNOLOGY OFFICER/CO-CHIEF INVESTMENT OFFICER; ownership Less than 5% → 10–25%
- ChangedEHLERT, MARY, ANNE · ownership 10–25% → 5–10%
- ChangedFORRESTAL, KARMA, ANN · ownership Less than 5% → 5–10%
- ChangedMINDEL, NORBERT, MAC · title LIMITED PARTNER, CO-MANAGING PARTNER → LIMITED PARTNER
- ChangedROGERS, JONATHAN, MARICHAL · ownership Less than 5% → 10–25%
- ChangedSAVAGE, BRIAN, THOMAS · title LIMITED PARTNER/CHIEF COMPLIANCE OFFICER → LIMITED PARTNER; ownership 5–10% → Less than 5%
- ChangedWEINDRUCH, ARVIN, THOMAS · ownership 5–10% → Less than 5%
Mar 13, 2018 filing
- AddedNYBO, FAYE, HIZON · CHIEF LEGAL COUNSEL · Less than 5% · control person
Mar 8, 2017 filing
- AddedFORRESTAL, KARMA, ANN · LIMITED PARTNER · Less than 5% · control person
- ChangedADAM, JOHN, JOSEPH · ownership Less than 5% → 5–10%
- ChangedBATAVIA, NIRAV, RAJEN · title LIMITED PARTNER/CHIEF TECHNOLOGY OFFICER → LIMITED PARTNER/CHIEF TECHNOLOGY OFFICER/CO-CHIEF INVESTMENT OFFICER
- ChangedEHLERT, MARY, ANNE · ownership 5–10% → 10–25%
- ChangedHAMBOURGER, ALAN, CHARLES · title LIMITED PARTNER/CO-MANAGING PARTNER → LIMITED PARTNER
- ChangedMARWEDE, ALFRED, ANDREW · ownership 10–25% → Less than 5%
- ChangedROGERS, JONATHAN, MARICHAL · title LIMITED PARTNER/CHIEF FINANCIAL OFFICER/CHIEF INVESTMENT OFFICER → LIMITED PARTNER/CO-MANAGING PARTNER/CHIEF FINANCIAL OFFICER/CO-CHIEF INVESTMENT OFFICER
- ChangedSAVAGE, BRIAN, THOMAS · ownership Less than 5% → 5–10%
- ChangedWEINDRUCH, ARVIN, THOMAS · ownership Less than 5% → 5–10%
- ChangedWESCHE, MARY, PATRICIA · ownership Less than 5% → 5–10%
Feb 6, 2017 filing
- No longer listedCARLSON, WILLIAM, PAUL · LIMITED PARTNER · Less than 5% · control person · listed since May 2010
Jan 14, 2015 filing
- AddedBATAVIA, NIRAV, RAJEN · LIMITED PARTNER/CHIEF TECHNOLOGY OFFICER · Less than 5% · control person
- AddedF.A.M., LLC · GENERAL PARTNER · Less than 5%
- ChangedADAM, JOHN, JOSEPH · title MEMBER → LIMITED PARTNER
- ChangedCARLSON, WILLIAM, PAUL · title MEMBER → LIMITED PARTNER
- ChangedEHLERT, MARY, ANNE · title MEMBER → LIMITED PARTNER
- ChangedHAMBOURGER, ALAN, CHARLES · title MEMBER → LIMITED PARTNER/CO-MANAGING PARTNER
- ChangedHEINRICH, MARCUS, KURT · title MEMBER → LIMITED PARTNER
- ChangedMARWEDE, ALFRED, ANDREW · title MEMBER → LIMITED PARTNER
- ChangedMETHVEN, ROBERT, THOMAS · title MEMBER → LIMITED PARTNER
- ChangedMINDEL, NORBERT, MAC · title MANAGING MEMBER → LIMITED PARTNER, CO-MANAGING PARTNER
- ChangedROGERS, JONATHAN, MARICHAL · title MEMBER → LIMITED PARTNER/CHIEF FINANCIAL OFFICER/CHIEF INVESTMENT OFFICER
- ChangedSAVAGE, BRIAN, THOMAS · title MEMBER/CHIEF COMPLIANCE OFFICER → LIMITED PARTNER/CHIEF COMPLIANCE OFFICER
- ChangedWEINDRUCH, ARVIN, THOMAS · title MEMBER → LIMITED PARTNER
- ChangedWESCHE, MARY, PATRICIA · title MEMBER/CHIEF FINANCIAL OFFICER → LIMITED PARTNER
Jan 6, 2015 filing
- No longer listedFOLKERTS, JACK, ALLEN · MEMBER · Less than 5% · control person · listed since Jun 2009
Aug 6, 2014 filing
- AddedEHLERT, MARY, ANNE · MEMBER · 5–10% · control person
- AddedROGERS, JONATHAN, MARICHAL · MEMBER · Less than 5% · control person
- ChangedADAM, JOHN, JOSEPH · ownership 5–10% → Less than 5%
- ChangedCARLSON, WILLIAM, PAUL · ownership 5–10% → Less than 5%
- ChangedFOLKERTS, JACK, ALLEN · ownership 5–10% → Less than 5%
- ChangedMARWEDE, ALFRED, ANDREW · ownership 5–10% → 10–25%
- ChangedWEINDRUCH, ARVIN, THOMAS · ownership 5–10% → Less than 5%
- ChangedWESCHE, MARY, PATRICIA · ownership 5–10% → Less than 5%
Jan 7, 2013 filing
- No longer listedSTRULOWITZ, DAVID, LAWRENCE · MEMBER · 5–10% · control person · listed since Mar 2010
Aug 1, 2012 filing
- AddedMARWEDE, ALFRED, ANDREW · MEMBER · 5–10% · control person
Mar 26, 2012 filing
- No longer listedSPOKAS, JOSEPH, ANTHONY · MEMBER · Less than 5% · control person · listed since Jul 2002
Dec 21, 2011 filing (earliest on record)
- ListedADAM, JOHN, JOSEPH · MEMBER · 5–10% · control person
- ListedCARLSON, WILLIAM, PAUL · MEMBER · 5–10% · control person
- ListedFOLKERTS, JACK, ALLEN · MEMBER · 5–10% · control person
- ListedHAMBOURGER, ALAN, CHARLES · MEMBER · 10–25% · control person
- ListedHEINRICH, MARCUS, KURT · MEMBER · 10–25% · control person
- ListedMETHVEN, ROBERT, THOMAS · MEMBER · Less than 5% · control person
- ListedMINDEL, NORBERT, MAC · MANAGING MEMBER · 10–25% · control person
- ListedSAVAGE, BRIAN, THOMAS · MEMBER/CHIEF COMPLIANCE OFFICER · Less than 5% · control person
- ListedSPOKAS, JOSEPH, ANTHONY · MEMBER · Less than 5% · control person
- ListedSTRULOWITZ, DAVID, LAWRENCE · MEMBER · 5–10% · control person
- ListedWEINDRUCH, ARVIN, THOMAS · MEMBER · 5–10% · control person
- ListedWESCHE, MARY, PATRICIA · MEMBER/CHIEF FINANCIAL OFFICER · 5–10% · control person
Quarter-over-quarter changes
Changes in reported position value vs the prior 13F, so price moves count too, not just shares bought or sold.
Top Adds (vs prior quarter)
- AMGEN INC$20.6M +16.3%
- DIMENSIONAL ETF TRUST$18.2M +8.0%
- APPLE INC$9.9M +13.5%
- MICROSOFT CORP$8.2M +46.8%
- META PLATFORMS INC$3.8M +29.0%
Top Trims
- VANGUARD MUN BD FDS-$41.6M -62.9%
- VANECK ETF TRUST-$40.1M -61.6%
- DIMENSIONAL ETF TRUST-$2.8M -45.8%
- CATERPILLAR INC-$2.3M -42.5%
- DIMENSIONAL ETF TRUST-$1.1M -9.4%
New Positions
- DFA INVT DIMENSIONS GROUP IN$369.9M
- ONEOK INC NEW$12.5M
- DFA INVT DIMENSIONS GROUP IN$9.5M
- DFA INVT DIMENSIONS GROUP IN$4.9M
- EXXONMOBIL HOLDINGS CORP$4.6M
Exited Positions
- DIMENSIONAL ETF TRUST$361.8M
- ONEOK INC NEW$12.8M
- DIMENSIONAL ETF TRUST$10.4M
- DIMENSIONAL ETF TRUST$5.2M
- ABBOTT LABORATORIES$4.1M
Forum Financial Management, LP Holdings (2026-09-30)
Rows tagged Call or Put are options positions, not stock. Per SEC Form 13F-HR, Value shows the notional value of the underlying (shares covered × underlying price), not the option premium. Shares is the number of underlying shares covered (divide by 100 for contract count).
| # | Issuer | Symbol | CUSIP | Value | Weight | Shares | Type |
|---|---|---|---|---|---|---|---|
| 1 | DIMENSIONAL ETF TRUST | DFAC | 25434V708 | $1.80B | 23.33% | 40,394,294 | SH |
| 2 | ISHARES TR | TLH | 464288653 | $897.2M | 11.66% | 9,733,806 | SH |
| 3 | DIMENSIONAL ETF TRUST | DFAT | 25434V609 | $656.2M | 8.52% | 9,875,856 | SH |
| 4 | DIMENSIONAL ETF TRUST | DFEM | 25434V732 | $594.6M | 7.72% | 14,968,582 | SH |
| 5 | DIMENSIONAL ETF TRUST | DFIC | 25434V799 | $589.0M | 7.65% | 15,662,021 | SH |
| 6 | DIMENSIONAL ETF TRUST | DFGR | 25434V658 | $470.6M | 6.11% | 17,397,636 | SH |
| 7 | DIMENSIONAL ETF TRUST | DFGP | 25434V583 | $356.5M | 4.63% | 6,864,803 | SH |
| 8 | DFA INVT DIMENSIONS GROUP IN | DUHP | 25239Y196 | $341.9M | 4.44% | 8,157,851 | SH |
| 9 | DIMENSIONAL ETF TRUST | DISV | 25434V781 | $232.5M | 3.02% | 5,371,028 | SH |
| 10 | DIMENSIONAL ETF TRUST | DIHP | 25434V765 | $205.8M | 2.67% | 6,108,104 | SH |
| 11 | AMGEN INC | AMGN | 031162100 | $146.6M | 1.90% | 347,857 | SH |
| 12 | DIMENSIONAL ETF TRUST | DFUS | 25434V401 | $92.4M | 1.20% | 1,113,117 | SH |
| 13 | APPLE INC | AAPL | 037833100 | $80.0M | 1.04% | 240,088 | SH |
| 14 | DIMENSIONAL ETF TRUST | DFAC | 25434V708 | $75.2M | 0.98% | 1,691,660 | SH |
| 15 | DIMENSIONAL ETF TRUST | DFUV | 25434V724 | $60.9M | 0.79% | 1,107,777 | SH |
| 16 | ALPHABET INC | GOOG | 02079K107 | $38.4M | 0.50% | 112,648 | SH |
| 17 | VANGUARD SCOTTSDALE FDS | VGLT | 92206C847 | $35.3M | 0.46% | 705,000 | SH |
| 18 | DIMENSIONAL ETF TRUST | DFAX | 25434V880 | $34.7M | 0.45% | 938,322 | SH |
| 19 | DIMENSIONAL ETF TRUST | DFAC | 25434V708 | $33.6M | 0.44% | 755,288 | SH |
| 20 | ALPHABET INC | GOOGL | 02079K305 | $33.3M | 0.43% | 96,675 | SH |
| 21 | ISHARES TR | TLH | 464288653 | $31.1M | 0.40% | 337,527 | SH |
| 22 | DIMENSIONAL ETF TRUST | DFIC | 25434V799 | $27.5M | 0.36% | 731,077 | SH |
| 23 | DIMENSIONAL ETF TRUST | DFEM | 25434V732 | $27.2M | 0.35% | 684,477 | SH |
| 24 | DIMENSIONAL ETF TRUST | DFAT | 25434V609 | $25.3M | 0.33% | 380,331 | SH |
| 25 | MICROSOFT CORP | MSFT | 594918104 | $25.2M | 0.33% | 49,205 | SH |
| 26 | VANECK ETF TRUST | HYD | 92189H409 | $24.2M | 0.31% | 503,038 | SH |
| 27 | DIMENSIONAL ETF TRUST | DFSU | 25434V716 | $23.8M | 0.31% | 505,265 | SH |
| 28 | VANGUARD MUN BD FDS | VTEB | 922907746 | $23.7M | 0.31% | 499,514 | SH |
| 29 | DFA INVT DIMENSIONS GROUP IN | DUHP | 25239Y196 | $22.6M | 0.29% | 540,066 | SH |
| 30 | DIMENSIONAL ETF TRUST | DFGR | 25434V658 | $22.1M | 0.29% | 817,158 | SH |
| 31 | DIMENSIONAL ETF TRUST | DFSE | 25434V682 | $17.7M | 0.23% | 366,274 | SH |
| 32 | META PLATFORMS INC | META | 30303M102 | $16.9M | 0.22% | 23,297 | SH |
| 33 | ISHARES TR | TLH | 464288653 | $16.8M | 0.22% | 181,941 | SH |
| 34 | EA SERIES TRUST | BSVO | 02072L532 | $15.1M | 0.20% | 541,592 | SH |
| 35 | MANAGER DIRECTED PORTFOLIOS | VGSR | 56170L695 | $14.8M | 0.19% | 1,390,266 | SH |
| 36 | ABBVIE INC | ABBV | 00287Y109 | $14.3M | 0.19% | 54,561 | SH |
| 37 | AMAZON COM INC | AMZN | 023135106 | $13.9M | 0.18% | 55,618 | SH |
| 38 | NVIDIA CORPORATION | NVDA | 67066G104 | $13.6M | 0.18% | 59,454 | SH |
| 39 | DIMENSIONAL ETF TRUST | DFSI | 25434V690 | $12.4M | 0.16% | 274,694 | SH |
| 40 | ONEOK INC NEW | OKE | 30609A109 | $12.1M | 0.16% | 141,449 | SH |
| 41 | DIMENSIONAL ETF TRUST | DFIC | 25434V799 | $11.3M | 0.15% | 300,460 | SH |
| 42 | JPMORGAN CHASE & CO | JPM | 46625H100 | $11.1M | 0.14% | 33,653 | SH |
| 43 | DIMENSIONAL ETF TRUST | DFAS | 25434V500 | $10.5M | 0.14% | 136,259 | SH |
| 44 | DIMENSIONAL ETF TRUST | DFIV | 25434V807 | $10.4M | 0.13% | 185,724 | SH |
| 45 | DIMENSIONAL ETF TRUST | DFIV | 25434V807 | $10.3M | 0.13% | 183,616 | SH |
| 46 | VANGUARD INDEX FDS | VOO | 922908363 | $10.1M | 0.13% | 14,365 | SH |
| 47 | DIMENSIONAL ETF TRUST | DFEM | 25434V732 | $10.0M | 0.13% | 253,009 | SH |
| 48 | STATE STR SPDR S&P 500 ETF T | SPY | 78462F103 | $10.0M | 0.13% | 13,088 | SH |
| 49 | DIMENSIONAL ETF TRUST | DFAT | 25434V609 | $9.5M | 0.12% | 143,588 | SH |
| 50 | VANGUARD INDEX FDS | VTI | 922908769 | $9.4M | 0.12% | 24,991 | SH |
Filing History
| Period | Filed | AUM | Holdings | Accession |
|---|---|---|---|---|
| 2026-09-30 | 2026-10-16 | $7.70B | 408 | 0001911832-26-000007 |
| 2026-06-30 | 2026-07-23 | $7.79B | 420 | 0001911832-26-000005 |
| 2026-03-31 | 2026-04-23 | $7.07B | 398 | 0001911832-26-000004 |
| 2025-12-31 | 2026-01-27 | $7.69B | 1,127 | 0001911832-26-000002 |
Filer Information
Address
1900 S. HIGHLAND AVE.SUITE 100
LOMBARD, IL 60148
Phone
(630) 873-8512
Filing Manager
Forum Financial Management, LP
LOMBARD, IL
Signatory
Allison Tronnes
Chief Compliance Officer