Fortem Financial Group, Llc
SEC-registered
Insurance-Affiliated · Small ($100M–$1B)
CRD 291662
· SEC file 801-112300
· Palm Desert, CA
· instagram.com
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ADV data as of Apr 21, 2026
- Regulatory AUM
- $632M
- Discretionary
- $627M
- Clients
- 347
- Avg AUM / client
- $1.8M
- Accounts
- 1,042
- Employees
- 10
AUM over time
$0
$632M
Dec 14, 2017
Apr 21, 2026
Reported AUM from Form ADV filings, plotted by filing date · as of Apr 21, 2026
Investments (13F portfolio — 188 positions, $490,318,889)
13F period Jun 30, 2026| # | Issuer | Class | Value | Shares | % of 13F | % of AUM |
|---|---|---|---|---|---|---|
| 1 | Kla Corp | COM NEW | $20,229,354 | 67,049 | 4.13% | 3.2% |
| 2 | Dell Technologies Inc | CL C | $20,166,715 | 46,741 | 4.11% | 3.19% |
| 3 | Nvidia Corporation | COM | $18,039,173 | 90,155 | 3.68% | 2.85% |
| 4 | Ssga Active Etf Tr | ST STR BL LN ETF | $15,008,468 | 372,511 | 3.06% | 2.38% |
| 5 | Applied Matls Inc | COM | $13,977,949 | 19,333 | 2.85% | 2.21% |
| 6 | Lam Research Corp | COM NEW | $13,502,131 | 31,159 | 2.75% | 2.14% |
| 7 | Global X Fds | GLOBAL X URANIUM | $13,197,269 | 301,997 | 2.69% | 2.09% |
| 8 | Alps Etf Tr | ALERIAN MLP | $12,575,317 | 242,533 | 2.56% | 1.99% |
| 9 | Broadcom Inc | COM | $12,346,056 | 32,683 | 2.52% | 1.95% |
| 10 | Invesco Qqq Tr | UNIT SER 1 | $11,396,940 | 15,477 | 2.32% | 1.8% |
| 11 | Tesla Inc | COM | $11,076,922 | 26,336 | 2.26% | 1.75% |
| 12 | Palantir Technologies Inc | CL A | $10,872,244 | 93,188 | 2.22% | 1.72% |
| 13 | Etf Opportunities Trust | APPLIED FINA VAL | $10,104,863 | 218,501 | 2.06% | 1.6% |
| 14 | Taiwan Semiconductor Manufac | SPONSORED ADS | $9,616,827 | 20,137 | 1.96% | 1.52% |
| 15 | Alphabet Inc | CAP STK CL A | $9,246,217 | 25,873 | 1.89% | 1.46% |
| 16 | Cohen & Steers Etf Trust | PFD IN OP AC ETF | $8,982,004 | 344,402 | 1.83% | 1.42% |
| 17 | Spdr Series Trust | ST STR SP METAL | $8,870,378 | 82,955 | 1.81% | 1.4% |
| 18 | Amazon Com Inc | COM | $8,519,940 | 35,747 | 1.74% | 1.35% |
| 19 | Janus Detroit Str Tr | HENDRSN SHRT ETF | $7,994,999 | 163,614 | 1.63% | 1.27% |
| 20 | Emcor Group Inc | COM | $7,972,657 | 9,607 | 1.63% | 1.26% |
| 21 | Apple Inc | COM | $7,830,630 | 27,062 | 1.6% | 1.24% |
| 22 | Amphenol Corp | CL A | $7,377,934 | 41,844 | 1.5% | 1.17% |
| 23 | Micron Technology Inc | COM | $7,075,798 | 6,130 | 1.44% | 1.12% |
| 24 | Teradyne Inc | COM | $6,885,044 | 14,230 | 1.4% | 1.09% |
| 25 | Microsoft Corp | COM | $6,698,462 | 17,957 | 1.37% | 1.06% |
Top 25 of 188 positions from the manager's latest Form 13F · source filing (EDGAR) ↗. 13F covers long US-listed positions only. "% of AUM" is share of the firm's total regulatory AUM (Form ADV Item 5.F).
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 193 | $63.2M | 10.0% |
| High net worth individuals | 140 | $522M | 82.6% |
| Pension and profit sharing plans | 2 | $400K | 0.06% |
| Charitable organizations | 3 | $32.7M | 5.17% |
| Corporations and other businesses | 9 | $13.5M | 2.14% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Ernie Ball, Inc. 401 K Profit Sharing Plan Ernie Ball, Inc. | 2024 | |
| Sun City Palm Springs Communit 401(k) Profit Sharing Plan & Trust Sun City Palm Springs Communit | 2024 |
People (5)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Brett Carlton D'orlando | Chief Compliance Officer | Jan 2018 (9y) | Less than 5% | |
| Brian Paul Amidei | Chief Executive Officer | Jan 2018 (9y) | Less than 5% | |
| Joseph Giorgio Romano | Chief Operating Officer | Jan 2018 (9y) | Less than 5% | |
| Cole Robert Pine | Registered representative | Oct 2024 (2y) | ||
| Nadyne Rebecca Abubo | Registered representative | Apr 2025 (1y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Focus Operating, Llc | Member (Manager) | Jan 2018 | A | 75% or more |
| Focus Financial Partners, Llc | Member | Jan 2007 | B | ≈ 56.25% – 100% via Focus Operating, Llc |
| Focus Financial Partners Inc. | Member | Jul 2018 | B | ≈ 42.19% – 100% via Focus Financial Partners, Llc |
| Ferdinand Ffp Acquisition, Llc | Shareholder, Class A Common Stock | Aug 2023 | B | ≈ 31.64% – 100% via Focus Financial Partners Inc. |
| Ferdinand Ffp Ultimate Holdings, Lp | Shareholder, Class B Common Stock | Aug 2023 | B | ≈ 31.64% – 100% via Focus Financial Partners Inc. |
| Ferdinand Ffp Intermediate Holdings, Llc | Member | Aug 2023 | B | ≈ 23.73% – 100% via Ferdinand Ffp Acquisition, Llc |
| Ferdinand Ffp Parent, Inc. | Member | Aug 2023 | B | ≈ 17.8% – 100% via Ferdinand Ffp Intermediate Holdings, Llc |
| Cd&R Ferdinand Holdings, L.P. | Partner | Aug 2023 | B | ≈ 15.82% – 75% via Ferdinand Ffp Ultimate Holdings, Lp |
| Clayton, Dubilier & Rice Fund Xii, L.P. | Partner | Aug 2023 | B | ≈ 7.91% – 56.25% via Cd&R Ferdinand Holdings, L.P. |
| Cd&R Ferdinand Co Investor, L.P. | Partner | Aug 2023 | B | ≈ 3.96% – 37.5% via Cd&R Ferdinand Holdings, L.P. |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Focus Financial Partners, Llc: 75% – 100% of Focus Operating, Llc × 75% – 100% direct ≈ 56.25% – 100% of the firm
- Focus Financial Partners Inc.: 75% – 100% of Focus Financial Partners, Llc × 75% – 100% of Focus Operating, Llc × 75% – 100% direct ≈ 42.19% – 100% of the firm
- Ferdinand Ffp Acquisition, Llc: 75% – 100% of Focus Financial Partners Inc. × 75% – 100% of Focus Financial Partners, Llc × 75% – 100% of Focus Operating, Llc × 75% – 100% direct ≈ 31.64% – 100% of the firm
- Ferdinand Ffp Ultimate Holdings, Lp: 75% – 100% of Focus Financial Partners Inc. × 75% – 100% of Focus Financial Partners, Llc × 75% – 100% of Focus Operating, Llc × 75% – 100% direct ≈ 31.64% – 100% of the firm
- Ferdinand Ffp Intermediate Holdings, Llc: 75% – 100% of Ferdinand Ffp Acquisition, Llc × 75% – 100% of Focus Financial Partners Inc. × 75% – 100% of Focus Financial Partners, Llc × 75% – 100% of Focus Operating, Llc × 75% – 100% direct ≈ 23.73% – 100% of the firm
- Ferdinand Ffp Parent, Inc.: 75% – 100% of Ferdinand Ffp Intermediate Holdings, Llc × 75% – 100% of Ferdinand Ffp Acquisition, Llc × 75% – 100% of Focus Financial Partners Inc. × 75% – 100% of Focus Financial Partners, Llc × 75% – 100% of Focus Operating, Llc × 75% – 100% direct ≈ 17.8% – 100% of the firm
- Cd&R Ferdinand Holdings, L.P.: 50% – 75% of Ferdinand Ffp Ultimate Holdings, Lp × 75% – 100% of Focus Financial Partners Inc. × 75% – 100% of Focus Financial Partners, Llc × 75% – 100% of Focus Operating, Llc × 75% – 100% direct ≈ 15.82% – 75% of the firm
- Clayton, Dubilier & Rice Fund Xii, L.P.: 50% – 75% of Cd&R Ferdinand Holdings, L.P. × 50% – 75% of Ferdinand Ffp Ultimate Holdings, Lp × 75% – 100% of Focus Financial Partners Inc. × 75% – 100% of Focus Financial Partners, Llc × 75% – 100% of Focus Operating, Llc × 75% – 100% direct ≈ 7.91% – 56.25% of the firm
- Cd&R Ferdinand Co Investor, L.P.: 25% – 50% of Cd&R Ferdinand Holdings, L.P. × 50% – 75% of Ferdinand Ffp Ultimate Holdings, Lp × 75% – 100% of Focus Financial Partners Inc. × 75% – 100% of Focus Financial Partners, Llc × 75% – 100% of Focus Operating, Llc × 75% – 100% direct ≈ 3.96% – 37.5% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Retirement plans served (2)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Ernie Ball, Inc. 401 K Profit Sharing Plan | Ernie Ball, Inc. | 532 | $13.1M | 01/01/2024 |
| Sun City Palm Springs Communit 401(k) Profit Sharing Plan & Trust | Sun City Palm Springs Communit | 169 | $4.6M | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 04/21/2026 | 1.13 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
- • Commissions
- • Other fees
- • REV. SHARING W/ FRS AND ON ELIGIBLE CREDIT & CASH MGMT SOLUTIONS
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Other services
Custody
Reported custodians
- Charles Schwab & Co. $618M (98% of AUM) Apr 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Apr 21, 2026.
View current Form ADV (SEC/IAPD) ↗