{"url":"https://nivawealth.com/firms/forge-financial-services-306480","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/306480","regulatoryAum":1457365476,"crd":"306480","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"2471505","suffix":null,"lastName":"BEARD","firstName":"CHRISTOPHER","middleName":"G"},{"crd":"5995946","suffix":"II","lastName":"BURLESON","firstName":"JAMES","middleName":"D"},{"crd":"8007473","suffix":null,"lastName":"Debose","firstName":"Madison","middleName":"Leigh"},{"crd":"6073984","suffix":null,"lastName":"DOTSON","firstName":"JOHN","middleName":"BARRY"},{"crd":"7190536","suffix":null,"lastName":"GIBSON","firstName":"DAVID","middleName":"BLAINE"},{"crd":"6496132","suffix":null,"lastName":"HUGHES","firstName":"CHRISTIE","middleName":"JO"},{"crd":"7916985","suffix":null,"lastName":"HYLANDER","firstName":"KATHRYN","middleName":"JEAN"},{"crd":"7694719","suffix":null,"lastName":"Lindsly","firstName":"Benjamin","middleName":"Joel"},{"crd":"4222941","suffix":null,"lastName":"MCCASLAND","firstName":"ROYSE","middleName":"LEE"},{"crd":"7960045","suffix":null,"lastName":"Miles","firstName":"Kailey","middleName":"Ann"},{"crd":"6237072","suffix":null,"lastName":"SELPH","firstName":"TONI","middleName":"DENISE"},{"crd":"7021894","suffix":null,"lastName":"WATSON","firstName":"ROBERT","middleName":"SCOTT"},{"crd":"8019569","suffix":null,"lastName":"Webster","firstName":"Garrett","middleName":null},{"crd":"6943195","suffix":null,"lastName":"WEISS","firstName":"GEOFFREY","middleName":"BEAU"},{"crd":"4107934","suffix":null,"lastName":"WILLIAMS","firstName":"CHARLOTTE","middleName":"NANETTE"}],"total":15,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2021-03-31","regulatoryAum":790928633,"clients":2897,"employees":13,"offices":2},{"filedOn":"2022-06-23","regulatoryAum":966073438,"clients":3245,"employees":15,"offices":2},{"filedOn":"2023-06-29","regulatoryAum":854028314,"clients":3838,"employees":13,"offices":2},{"filedOn":"2024-06-04","regulatoryAum":1008864970,"clients":4062,"employees":14,"offices":2},{"filedOn":"2025-03-26","regulatoryAum":1201557311,"clients":4263,"employees":14,"offices":2},{"filedOn":"2026-09-08","regulatoryAum":1457365476,"clients":4683,"employees":15,"offices":2}],"secFileNumber":"801-117938","legalName":"Forge 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clients does Forge Financial Services have?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Forge Financial Services offer?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does Forge Financial Services use?","answer":"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","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Forge Financial Services have?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Forge Financial Services invest in?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Forge Financial Services?","answer":"Forge Financial Services’ direct owner is Charlotte Shaw (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 8 September 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Forge Financial Services get paid?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Forge Financial Services?","answer":"Forge Financial Services’ main office is at 2901 South Bryant Avenue, Edmond, OK 73013. Its phone number is 405-340-1600. 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dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}