FORMIDABLE ASSET MANAGEMENT, LLC
Latest filing: Mar 26, 2025 (100 days ago)
AUM
$876,010,541
-1% change vs. 1 year ago
24% change vs. 3 years ago
87% change vs. 5 years ago
251% change vs. 10 years ago
Employee Count
20
0% change vs. 1 year ago
33% change vs. 3 years ago
67% change vs. 5 years ago
300% change vs. 10 years ago
Main Office
CINCINNATI, OH
221 E. 4TH STREET, CINCINNATI, OH, UNITED STATES, 45202
Client AUM
| Discretion | AUM |
|---|---|
| Discretionary | $0.9 |
| Non-Discretionary | $0.0 |
| Total | $0.9 |
| Client | AUM |
|---|---|
| Retail | $0.8 |
| Pooled | $0.0 |
| Institutional | $0.0 |
| Total | $0.9 |
| Retail | Accounts | AUM |
|---|---|---|
| Individual | 667 | $0.2 |
| Average Individual AUM | $310,678 | |
| HNW | 189 | $0.6 |
| Average HNW AUM | $3,248,648 | |
| Retail Total | 856 | $0.8 |
| Average Retail AUM | $959,365 |
ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV
SMA Custodians
| Custodian | Location | AUM |
|---|---|---|
| RAYMOND JAMES & ASSOCIATES, INC. | ST. PETERSBURG-FL-USA | $0.5 |
| LPL FINANCIAL LLC | FORT MILL-SC-USA | $0.2 |
| CHARLES SCHWAB & CO., INC. | OMAHA-NE-USA | $0.1 |
ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV
Separately Managed Assets
| Breakdown | AUM |
|---|---|
| Total SMA AUM | $0.8 |
| Retail SMA AUM | $0.8 |
| Institutional SMA AUM | $0.0 |
| Asset Class | % | AUM |
|---|---|---|
| Equity Exch | 60% | $0.5 |
| Equity Non-Exch | 2% | $0.0 |
| Govt Agency | 1% | $0.0 |
| Municipal | 1% | $0.0 |
| Sovereign | 0% | $0.0 |
| IG Credit | 1% | $0.0 |
| HY Credit | 0% | $0.0 |
| Derivatives | 0% | $0.0 |
| Investment Companies | 23% | $0.2 |
| Other Pools | 2% | $0.0 |
| Cash | 9% | $0.1 |
| Other | 1% | $0.0 |
| Total | 100% | $0.8 |
ADVDB.CO • AUM IN BILLIONS • POSSIBLE ROUNDING ERRORS, BUT SOME ADVISERS REPORT SUMS ≠ 100% • SOURCE: SEC FORM ADV
Affiliates
| Affiliates | AUM | Business Types | CRD Number |
|---|---|---|---|
| FORMIDABLE CAPITAL MANAGEMENT, LLC | $0.0 | - | |
| FORMIDABLE FINANCIAL SERVICES | $0.0 | - |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
Control Persons
Representatives
13 active representatives found
| Name | City | State | Exams | Designations | |||||
|---|---|---|---|---|---|---|---|---|---|
| TERRI CONNELLY | CINCINNATI | OH | S63|2007-10-10|S66|2016-09-13 | ||||||
| MICHAEL MASSEY | CINCINNATI | OH | S66|1998-07-02 | ||||||
| DAVID HENNING | CINCINNATI | OH | S63|1997-05-15|S65|2005-05-23 | CERTIFIED FINANCIAL PLANNER | |||||
| ANDREW ALLWEIN | CINCINNATI | OH | S65|2023-11-01 | ||||||
| WILLIAM ROMANS | CINCINNATI | OH | S66|1999-01-09 | ||||||
| JAMES GAUNT | CINCINNATI | OH | S66|2004-10-14 | ||||||
| TRACY GERMANO | CINCINNATI | OH | S66|2008-10-13 | ||||||
| BENJAMIN SIEFRING | CINCINNATI | OH | S63|2012-12-12 | CERTIFIED FINANCIAL PLANNER|CHARTERED FINANCIAL CONSULTANT | |||||
| ADAM EAGLESTON | CINCINNATI | OH | S63|2000-09-28|S65|2001-03-02 | CHARTERED FINANCIAL ANALYST | |||||
| TIMOTHY BEGLEY | CINCINNATI | OH | S63|2008-02-19|S66|2010-08-16 | CERTIFIED FINANCIAL PLANNER | |||||
| KRYSTEN TAYLOR | CINCINNATI | OH | S65|2023-06-20 | ||||||
| WILLIAM BROWN | CINCINNATI | OH | S63|1994-02-08 | ||||||
| HENRY BRIGHTWELL | CINCINNATI | OH | S63|1994-11-22|S65|2010-01-06 | ||||||
ADVDB.CO • SOURCE: SEC
History
| Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
|---|---|---|---|---|---|---|
| 2025-06-02 | $0.9 | $0.0 | 0% | 20 | 0 | 0% |
| 2025-04-21 | $0.9 | $0.0 | 0% | 20 | 0 | 0% |
| 2024-04-02 | $0.9 | $0.0 | -1% | 20 | 0 | 0% |
| 2023-04-04 | $0.6 | $0.2 | 39% | 15 | 5 | 33% |
| 2022-04-01 | $0.7 | $0.2 | 24% | 15 | 5 | 33% |
| 2021-04-05 | $0.6 | $0.3 | 42% | 15 | 5 | 33% |
| 2020-04-01 | $0.5 | $0.4 | 87% | 12 | 8 | 67% |
| 2019-04-01 | $0.4 | $0.5 | 110% | 11 | 9 | 82% |
| 2018-04-02 | $0.4 | $0.5 | 123% | 13 | 7 | 54% |
| 2017-04-01 | $0.3 | $0.6 | 172% | 14 | 6 | 43% |
| 2016-04-01 | $0.2 | $0.7 | 306% | 6 | 14 | 233% |
| 2015-04-01 | $0.2 | $0.6 | 251% | 5 | 15 | 300% |
| 2014-04-01 | $0.2 | $0.7 | 290% | 6 | 14 | 233% |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
Other
| STATE REGISTRATIONS |
| OH, AZ-03/28/2014, CA-03/28/2014, CO-03/28/2014, DE-03/28/2014, FL-03/28/2014, GA-07/06/2023, IL-04/16/2014, IN-03/28/2014, KY-03/28/2014, MA-03/28/2014, NC-09/18/2017, NY-03/28/2014, OH-04/22/2013, OR-03/28/2014, PA-03/24/2015, SC-07/06/2023, TN-07/06/2023, TX-03/24/2015, VA-03/28/2014, WA-03/28/2014 |
| ADVISER ACTIVITIES |
|
FINANCIAL PLANNING PORTFOLIO MANAGEMENT PORTFOLIO MANAGEMENT (RIC) PORTFOLIO MANAGEMENT (POOLS) PENSION CONSULTING |
| OTHER ACTIVITIES |
|
INSURANCE AGENT |
ADVDB.CO • SOURCE: SEC FORM ADV