Formulate Financial LLC

RIASEC RegisteredEst. 2024
Total AUM
$229M
Discretionary
$229M
100% of AUM
Avg account
$2.2M
Accounts
104
Employees
1
Advisory reps
1

Firm details

Headquarters
,
CRD number
331026
Registered since
May 16, 2024
Fee structure
Percentage of AUM, Fixed Fees
Client types
  • HNWI50.58%
  • Pension & Profit Sharing Plans49.42%
Services
Portfolio Management for Individuals

Firm profile

FINTRX

Overview

Formulate Financial LLC is an independent, limited liability RIA that registered with the SEC in 2024 and is owned by an individual. The firm provides fee-based portfolio management to individuals, families and small businesses and also serves some institutional clients. Its fee arrangements include both a percentage-of-assets model and the option of fixed fees. Formulate is not registered as a multi-state adviser, does not identify as an active ESG investor, and does not operate as a capital allocator or pension consultant.

Assets & Accounts

Public Holdings

Investments & Alternatives

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 35%, Cash & Cash Equivalents 5%60%
  • Exchange Traded Equities60%
  • Public Funds/Mutual Funds35%
  • Cash & Cash Equivalents5%

Contacts

1 of 1
  • Michael Rosenthal

    Investment AdvisorCRD 2309908

Wealth teams

FINTRX

Newly hired reps

FINTRX

Recent M&A activity

FINTRX

Recent filings

FINTRX

Awards

FINTRX

ETF holdings

1 of 12

Active vs passive

$84.4M in ETFs

Passive

88%

$74.4M

Active

0%

$10M

ETFProviderStyleCategoryValueShares% of portfolio
VANGUARD 500 INDEX FUND (VOO)VanguardPassiveLarge Blend$17.5M25,52120.78%

Location

Primary office

, null

Location

, null

Headquartered in , null.

Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth