Forum Partners Investment Management LLC (Old Greenwich)

Name: Forum Partners Investment Management LLC
Address: 1700 E. Putnam Avenue, Old Greenwich, CT, 06870 1366
Telephone: 203-302-3301

Forum Partners Investment Management LLC is a large advisory firm based in Old Greenwich. It manages $189.6 million of regulatory assets for 7 client accounts. It has been registered with the SEC as an adviser since 2012 and has operated in the jurisdictions of Connecticut and New Mexico.

Forum Partners Investment Management provides portfolio management for pooled investment vehicles. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Forum Partners Investment Management: assets under management

The assets under management (AUM) of Forum Partners Investment Management LLC is $189.6 million, all of which is managed in discretionary accounts. The firm's AUM has gone down by -89% since the beginning of its operation, and $181.67 million of the total AUM is attributable to clients outside of the United States.

The firm manages $189.6 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $27.09 million each.

Forum Partners Investment Management has custody of $189.6 million in cash and securities for 7 clients in total but doesn’t act as a qualified custodian.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Forum Partners Investment Management LLC for their services and products based on a percentage of assets under management and performance-based fees. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Forum Partners Investment Management serves?

The only and largest group of clients of Forum Partners Investment Management is pooled investment vehicles with 7 clients and $189.6 million of assets under management. Among the 14 most similar advisory firms, Forum Partners Investment Management has the highest percentage of pooled investment vehicles out of all clients.

The amount of regulatory assets under management is $189.6 million for 7 clients. 85% of the firm’s clients are foreign persons or businesses.

Forum Partners Investment Management also advises several private funds. Namely, seven private equity funds. The minimum investment commitment required of non-related persons ranges from $0 to $13,200,000.

Careers at Forum Partners Investment Management LLC

The company employs 19 people that are either part- or full-time employees. 53 percent of the employees work as investment advisers or researchers. No 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
Russell Christopher Platt	Managing director and chief executive officer of forum partners investment management llc	1 Dec 2002	25% - 50%	1567825
Caroline Mcbride	Managing director and chief investment officer of forum partners investment management llc	1 Dec 2002	Other	4716134
Andrew Nicholas Walker	Managing director and business unit head europe of forum partners investment management llc	1 Dec 2002	Other	5727641
Caroline Sneath Mcbride	Elected manager (holding c shares) and member: senior adviser of forum partners investment management llc	1 Dec 2002	Other	4716134
Forum Partners Investment Management Llc	Direct owner of forum european realty investment management llc	1 Apr 2003	75% - 100%	161192
Forum Partners Investment Management Llc	Direct owner of forum asian realty investment management llc	1 Oct 2004	75% - 100%	161192
Forum Partners Investment Management Llc	Direct owner of forum asian realty income gp limited	1 Nov 2004	75% - 100%	161192
Russell Christopher Platt	Director of forum asian realty income gp limited	1 Nov 2004	Other	1567825
Kiat Seng Seah	Director of forum asian realty income gp limited	1 Nov 2004	Other	6028933
Forum Partners Investment Management Llc	Direct owner of forum european realty investment management ii llc	1 Jun 2005	75% - 100%	161192
Caroline Mcbride	Director of forum european realty income ii gp limited	1 Jun 2005	Other	4716134
Russell Christopher Platt	Director of forum european realty income ii gp limited	1 Jun 2005	Other	1567825
Andrew Nicholas Walker	Director of forum european realty income ii gp limited	1 Jul 2005	Other	5727641
Caroline Mcbride	Director of forum european realty income gp limited	1 Feb 2006	Other	4716134
Russell Christopher Platt	Director of forum european realty income gp limited	1 Feb 2006	Other	1567825
Forum Partners Investment Management Llc	Direct owner of forum european realty income ii gp limited	1 Feb 2006	75% - 100%	161192
Forum Partners Investment Management Llc	Direct owner of forum asian realty investment management ii llc	1 Jul 2006	75% - 100%	161192
Russell Christopher Platt	Director of forum asian realty income ii gp limited	1 Jul 2006	Other	1567825
Mark William Pearson	Managing director, general counsel and chief compliance officer of forum partners investment management llc	1 Aug 2006	Other	5727478
Forum Partners Investment Management Llc	Direct owner of forum european realty income gp limited	1 Sep 2006	75% - 100%	161192
Andrew Nicholas Walker	Director of forum european realty income gp limited	1 Sep 2006	Other	5727641
Caroline Mcbride	Director of forum asian realty income ii gp limited	1 Nov 2006	Other	4716134
Forum Holdings Limited	Direct owener of forum partners europe (uk) llp	1 Dec 2006	75% - 100%	foreign entity
Andrew Nicholas Walker	Director of forum european realty income iii gp limited	1 Jan 2007	Other	5727641
Caroline Mcbride	Director of forum european realty income iii gp limited	1 Jan 2007	Other	4716134
Russell Christopher Platt	Director of forum european realty income iii gp limited	1 Jan 2007	Other	1567825
Forum Partners Investment Management Llc	Direct owner of forum european realty income iii gp limited	1 Feb 2007	75% - 100%	161192
Forum Partners Investment Management Llc	Direct owner of forum european realty investment management iii llc	1 Jun 2007	75% - 100%	161192
Merrit Eugene Maddux	Managing director and business unit head asia of forum partners investment management llc	1 Jun 2007	Other	4372840
Merrit Eugene Maddux	Director of forum asian realty income gp limited	1 Sep 2007	Other	4372840
Mark William Pearson	Director of forum european realty income gp limited	1 Jan 2009	Other	5727478
Richard Robert Cotton	Managing director of forum partners investment management llc	1 Sep 2009	Other	5906755
Forum Holdings B.V.	Direct owner of forum asian realty income iii gp limited	1 Apr 2010	75% - 100%	98-0626596
Mark William Pearson	Director of forum asian realty income iii gp limited	1 Apr 2010	Other	5727478
Caroline Mcbride	Director of forum asian realty income iii gp limited	1 Apr 2010	Other	4716134
Russell Christopher Platt	Director of forum asian realty income iii gp limited	1 Apr 2010	Other	1567825
Forum Holdings Limited	Direct owner of forum asian realty income iii gp limited	1 Apr 2010	75% - 100%	98-0626596
Merrit Eugene Maddux	Director of forum asian realty income iii gp limited	1 Apr 2010	Other	4372840
Anthony Iessi	Director of forum asian realty income gp limited	1 Feb 2011	Other	6028936
Malcolm Adam Glyn	Managing director and chief financial officer of forum partners investment management llc	1 Nov 2011	Other	6023444
Panther Family Limited Partnership	Member: direct owner (holding a shares) of forum partners investment management llc	1 Mar 2012	Other	1067317
Steve C Kim	Director of forum asian realty income iii gp limited	1 Jan 2013	Other	2266338
Gregory Paul Wells	Managing director and business unit head asia of forum partners investment management llc	1 Mar 2013	Other	6178681
Forum Holdings B.V.	Direct owner of feri iv gp s.à.r.l.	1 Jun 2014	75% - 100%	98-0626596
La Française Global Real Estate Investment Management? Limited	Direct owner of forum partners investment management llc	1 Nov 2014	Other	foreign entity
La Française Global Real Estate Investment Management Limited	Direct owner of forum partners investment management llc	1 Nov 2014	Other	foreign entity
William Macmilliam Oliver	Director of forum asian realty income iii gp limited	1 Feb 2015	Other	6465714
Benjamin William Edward Morgan	Executive director and general counsel of forum partners investment management llc	1 Sep 2016	Other	6736277
Benjamin W.E. Morgan	Chief compliance officer, director and corporate legal counsel	1 Sep 2016	Other	6736277
Ryan Pappas	Member: managing director and chief investment officer (us and europe) of forum partners investment management llc	1 Feb 2017	Other	3106941
Groupe La Française	Member: direct owner (holding f shares) of forum partners investment management llc	1 Jan 2018	Other	48087149000029
Joseph Francis Stowell Iii	Chief compliance officer	1 Jun 2018	Other	4795450

Indirect Owners

The SEC currently registers 5 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Russell Christopher Platt	Member	1 Aug 2011	25% - 50%	1567825
Caroline Sneath Mcbride	General partner	1 Mar 2012	Other	4716134
Caroline Mcbride	General partner	1 Mar 2012	Other	4716134
Caisse Federale Du Credit Mutuel Nord Europe	Parent	1 Nov 2014	75% - 100%	32034226400027
Groupe La Francaise	Parent	1 Nov 2014	75% - 100%	48087149000029

Based in Old Greenwich

The principal office where Forum Partners Investment Management LLC performs its advisory services is located at 1700 E. Putnam Avenue, Old Greenwich, CT 06870 1366, which is also the mailing address of the firm. An additional office of the firm is in Santa Fe, NM. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 203-302-3301 or by fax 203-983-5202. The normal business hours are 9:00 am to 5:00 pm on Monday - Friday. You can find more information about the New York firm at forumpartners.com.