FORMIDABLE ASSET MANAGEMENT, LLC

RIASEC RegisteredEst. 2013
Total AUM
$903M
Discretionary
$902M
100% of AUM
Avg account
$411K
Accounts
2,196
Employees
21
Advisory reps
16

Firm details

Headquarters
CINCINNATI, Ohio
CRD number
167555
Registered since
April 22, 2013
Website
www.formidableam.com
Custodians
RAYMOND JAMES & ASSOCIATES, INC., LPL FINANCIAL LLC, CHARLES SCHWAB & CO., INC., SEI INVESTMENTS DISTRIBUTION CO.
Fee structure
Percentage of AUM, Performance Based Fees
Client types
  • HNWI69.34%
  • Individuals25.51%
  • Investment Companies4.41%
  • Corporations / Businesses0.24%
  • Pooled Investment Vehicles0.2%
Services
Financial PlanningPortfolio Management for IndividualsPortfolio Management for Investment CompaniesPortfolio Management for Pooled Investment VehiclesPension Consulting

Firm profile

FINTRX

Overview

Formidable Asset Management, LLC is an independent registered investment advisor operating as an LLC and SEC-registered since 2013. The firm serves both individuals/families and institutional clients, offering financial planning, portfolio management across individual and pooled vehicles, and pension consulting. It also functions as an insurance broker. Compensation includes both percentage-of-AUM fees and performance-based fees. The firm is not identified as an active ESG investor and does not present itself as a multi-state or newly formed adviser.

Assets & Accounts

Public Holdings

Investments & Alternatives

Location & Offices

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Investment profile

FINTRX

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

FINTRX

CRM & tech providers

TAMPs used

Clients

FINTRX

Client base

Client personas

Asset composition

Asset composition: Exchange Traded Equities 60%, Public Funds/Mutual Funds 25%, Cash & Cash Equivalents 6%, Private Funds 4%, US Government Bonds 2%, Non-Exchange Traded Equities 1%, State & Local Bonds 1%, Investment Grade Corp Bonds 1%60%
  • Exchange Traded Equities60%
  • Public Funds/Mutual Funds25%
  • Cash & Cash Equivalents6%
  • Private Funds4%
  • US Government Bonds2%

Owners & executives

3 of 4

  • KRYSTEN TAYLOR

    Chief Financial Officer and DirectorCRD 5650896

  • JASON WAINSCOTT

    General Counsel, Chief Operating OfficerCRD 6176395

  • WILLIAM BROWN

    CEO & Managing PartnerCRD 2382615

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Contacts

3 of 12

  • TIMOTHY BEGLEY

    Portfolio ManagerCRD 5462815

  • BENJAMIN SIEFRING

    Portfolio ManagerCRD 5922691

  • MICHAEL MASSEY

    PartnerCRD 3049479

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Wealth teams

FINTRX

Newly hired reps

FINTRX

Recent M&A activity

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Recent filings

FINTRX

Awards

FINTRX

ETF holdings

1 of 114

Active vs passive

$153M in ETFs

Passive

55%

$84.2M

Active

38%

$69.2M

ETFProviderStyleCategoryValueShares% of portfolio
FORMIDABLE FORTRESS ETF (KONG)ActiveMid Cap Blend$19.5M639,92312.75%
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Location

Primary office

CINCINNATI, OH

HAMILTON

Location

CINCINNATI, OH

Headquartered in CINCINNATI, OH, anchoring the Cincinnati-Wilmington-Maysville, OH-KY-IN metro in the Midwest.

Metro area
Cincinnati-Wilmington-Maysville, OH-KY-IN
Region
Midwest
County
HAMILTON
Address
221 E 4th St
Time zone
ET (UTC-5)
Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth