Forge Financial Services provides portfolio management for individuals and small businesses and selecting other managers.
Forge Financial Services reports 4,683 clients. They include 3,617 individual clients, 1,057 high-net-worth individuals, and 9 corporations and other businesses. Of its assets, 100.0% ($1.46B across 7,427 accounts) are managed with discretion. A wrap fee program the firm both sponsors and manages holds $1.46B. It advised 4,689 clients without assets under management last fiscal year.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 77% | 44% |
| High-net-worth individuals | 23% | 56% |
| Pension and profit-sharing plans | 0% | <1% |
| Charitable organizations | 0% | <1% |
| Corporations and other businesses | <1% | <1% |
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 3,617 | $637M | 43.7% | $176K |
| High-net-worth individuals | 1,057 | $815M | 55.9% | $771K |
| Pension and profit-sharing plans | Fewer than 5 | $1.12M | 0.1% | — |
| Charitable organizations | Fewer than 5 | $305K | 0.0% | — |
| Corporations and other businesses | 9 | $4.7M | 0.3% | $522K |
| Total | 4,683 | $1.46B | 100% | — |
- Clients
- 3,617
- Regulatory AUM
- $637M
- AUM share
- 43.7%
- Avg. per client
- $176K
- Clients
- 1,057
- Regulatory AUM
- $815M
- AUM share
- 55.9%
- Avg. per client
- $771K
- Clients
- Fewer than 5
- Regulatory AUM
- $1.12M
- AUM share
- 0.1%
- Avg. per client
- —
- Clients
- Fewer than 5
- Regulatory AUM
- $305K
- AUM share
- 0.0%
- Avg. per client
- —
- Clients
- 9
- Regulatory AUM
- $4.7M
- AUM share
- 0.3%
- Avg. per client
- $522K
Total
- Clients
- 4,683
- Regulatory AUM
- $1.46B
- AUM share
- 100%
- Avg. per client
- —
- Clients outside the U.S.
- 0%
- Clients advised without assets under management last fiscal year
- 4,689
- Private funds advised
- 0
Forge Financial Services is paid through a percentage of assets under management. The reviewed brochures do not disclose an asset-based fee rate. Read the SEC-filed brochure.
Charlotte Shaw owns 75% or more of Forge Financial Services. Charlotte Shaw is CEO; the leadership team includes President Christie Hughes, Chief Investment Officer John Dotson and Chief Financial Officer James Burleson. It has 15 employees.
Leadership
- Charlotte ShawChief Executive Officer
- Christie HughesVice President
- James BurlesonChief Financial Officer
- Geoffrey WeissChief Compliance Officer
- John DotsonChief Investment Officer
Investment adviser representatives
15 representatives listed in the SEC register as of 9 October 2026.
- Christopher G Beard
- James D Burleson II
- Madison Leigh Debose
- John Barry Dotson
- David Blaine Gibson
- Christie Jo Hughes
- Kathryn Jean Hylander
- Benjamin Joel Lindsly
- Royse Lee McCasland
- Kailey Ann Miles
- Toni Denise Selph
- Robert Scott Watson
- Garrett Webster
- Geoffrey Beau Weiss
- Charlotte Nanette Williams
Staff
- 15 employees
- 15 in advisory functions
- 15 state-registered reps
- 15 broker-dealer reps
- 7 insurance agents
- Owns 75% or more of Forge Financial Services, LLC
Charlotte Shaw
Control person · since February 2004
Forge Financial Services’ regulatory assets grew 1.8× from $791M (March 2021) to $1.46B (September 2026); clients rose from 2,897 to 4,683 and employees from 13 to 15.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | Employees | Offices |
|---|---|---|---|---|
| September 2026 | $1.46B | 4,683 | 15 | 2 |
| March 2025 | $1.2B | 4,263 | 14 | 2 |
| June 2024 | $1.01B | 4,062 | 14 | 2 |
| June 2023 | $854M | 3,838 | 13 | 2 |
| June 2022 | $966M | 3,245 | 15 | 2 |
| March 2021 | $791M | 2,897 | 13 | 2 |
Besides its headquarters, Forge Financial Services has 1 office, with 2 listed addresses in Oklahoma.
Oklahoma · 2 listed addresses
- 2901 South Bryant Avenue, EdmondHQ
- 4637 E 91st Street, Tulsa
Contact and registration details
- Legal name
- Forge Financial Services, LLC
- Headquarters
- 2901 South Bryant Avenue, Edmond, OK 73013
- Website
- forgefinancial.com
- Phone
- 405-340-1600
- SEC file
- 801-117938
- Structure
- Oklahoma LLC
- Fiscal year end
- December
Forge Financial Services uses LPL Financial ($854M) as custodian for its separately managed accounts. Forge Financial Services does not have custody of client assets.
- LPL FinancialLPL Financial LLC · Boston, MA · $854M100%
At year end, Forge Financial Services’ separately managed accounts were mostly in funds (94%). Its reported 13F holdings for the quarter ended 30 June 2026 total $1.16B across 36 positions; the largest are Capital Group Dividend Value (24.1%), Capital Group Growth ETF (22.4%) and Capital Group Gbl Growth EQT (21.0%).
What the accounts hold
- Stocks1%
- Funds94%
- Bonds2%
- Cash1%
- Other2%
- Structured products and one warrant2%
Reported 13F holdings
- $1.16B
- Reported 13F value
- 36
- Positions
- 97.0%
- In the 10 largest
- +17.6%
- Value vs. prior quarter
- Capital Group Dividend Value · Shs Creat Unit24.1%
- Capital Group Growth ETF · Shs Creat Unit22.4%
- Capital Group Gbl Growth EQT · Shs Creat Unit21.0%
- Capital Group Core Balanced12.6%
- First TR Exchng Traded FD VI · FT Vest Lad10.2%
- Invesco Exch Traded FD TR II · Nasdaq 100 ETF1.7%
- Capital Group Core Equity ET · Shs Creat Unit1.7%
- Invesco Exchange Traded FD T · S&P500 Eql Wgt1.5%
- T Rowe Price Exchange-traded · Cap Appreciation1.1%
- John Hancock Exchange Traded · Multifactor MI0.6%
Together, the ten largest are 97.0% of reported value.
How many clients does Forge Financial Services have?
Forge Financial Services has 4,683 clients and manages $1.46 billion for them, as of September 2026. They include 3,617 individual clients, 1,057 high-net-worth individuals, and 9 corporations and other businesses.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 8 September 2026
What services does Forge Financial Services offer?
Forge Financial Services provides portfolio management for individuals and small businesses and selecting other managers.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file
Which custodians does Forge Financial Services use?
Forge Financial Services’ separately managed account assets are held at LPL Financial LLC (Boston, MA), with $854M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 8 September 2026
How many financial advisors does Forge Financial Services have?
Forge Financial Services has 15 investment adviser representatives registered with state securities authorities, out of 15 employees, and 15 perform investment advisory functions. 15 employees are registered representatives of a broker-dealer and 7 employees are licensed insurance agents.
Source: Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file
What does Forge Financial Services invest in?
At the end of its last fiscal year, Forge Financial Services’ separately managed accounts held 94% registered funds (mutual funds, ETFs, BDCs), 2% high-yield corporate bonds, 2% other, 1% exchange-traded equities and 1% cash and equivalents. The 2% other category is described as: Structured Products and One Warrant.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns Forge Financial Services?
Forge Financial Services’ direct owner is Charlotte Shaw (75% or more).
Source: Form ADV Part 1A, Schedules A and B, filed 8 September 2026
How does Forge Financial Services get paid?
Forge Financial Services is paid through a percentage of assets under management. Its Form ADV lists no commissions or performance-based fees among how it is paid.
Source: Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file
How do I contact Forge Financial Services?
Forge Financial Services’ main office is at 2901 South Bryant Avenue, Edmond, OK 73013. Its phone number is 405-340-1600. Its website is forgefinancial.com.