Michael Forstl

EXOS ASSET MANAGEMENT LLC

NEW YORK, NY 10001

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CRD#: 1430325

Professional summary

Michael Forstl, CIMA®, who also goes by Michael Forstl III, is a registered financial advisor currently at EXOS ASSET MANAGEMENT LLC located in New York, New York and EXOS SECURITIES LLC located in New York, New York.

Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Michael has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 14 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Michael Forstl Iii

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

STRATEGIC INTRO LLC; 151 LOGAN ROAD, NEW CANAAN, CT 06840; INVESTMENT-RELATED; STARTED 2/2013; PRINCIPAL; FIRM IS CURRENTLY INACTIVE.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Forstl's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CIMA^®

Certified Investment Management Analyst

Experience

Current

March 1, 2024 - Present

EXOS ASSET MANAGEMENT LLC

Office #1: 35 W 35th Street Fifth Floor, New York, NY 10001

RIA

CRD#: 305706

NEW YORK, NY

Current

March 23, 2023 - Present

EXOS SECURITIES LLC

Office #1: 35 W 35th Street Fifth Floor, New York, NY 10001

CRD#: 298276

NEW YORK, NY

Past

March 23, 2023 - December 31, 2023

EXOS ASSET MANAGEMENT LLC

RIA

CRD#: 305706

NEW YORK, NY

Past

September 10, 2014 - February 3, 2023

MORGAN CREEK CAPITAL DISTRIBUTORS, LLC

CRD#: 154377

Chapel Hill, NC

Past

September 3, 2014 - February 3, 2023

MORGAN CREEK CAPITAL MANAGEMENT, LLC

RIA

CRD#: 138401

NEW YORK, NY

Past

June 8, 2009 - February 21, 2013

VOYA INVESTMENT MANAGEMENT CO. LLC

RIA

CRD#: 106494

NEW YORK, NY

Past

June 4, 2009 - February 21, 2013

VOYA INVESTMENTS DISTRIBUTOR, LLC

CRD#: 37886

NEW YORK, NY

Past

June 5, 2002 - December 31, 2003

RITTENHOUSE ASSET MANAGEMENT, INC.

RIA

CRD#: 106562

NEW YORK CITY, IL

Past

May 25, 2000 - December 31, 2008

NUVEEN FUND ADVISORS, LLC

RIA

CRD#: 104626

NEW YORK CITY, NY

Past

May 19, 1989 - December 31, 2008

NUVEEN SECURITIES, LLC

CRD#: 469

NEW YORK, NY

Past

May 21, 1987 - October 27, 1987

INVESCO CAPITAL MARKETS, INC.

CRD#: 6939

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

EXOS ASSET MANAGEMENT LLC

CRD#: 305706 / SEC#: 801-119726

RIA

Registered Investment Advisory firm - (11/2/2020 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Connecticut
(3/23/2023)

New York
(3/23/2023)

IAR

New York
(3/1/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 1/18/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/11/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/16/1987

General Securities Representative Examination

Principal/Supervisory Exam

Series 14

Date: 1/2/2023

Compliance Officer Examination

Principal/Supervisory Exam

Series 24

Date: 7/3/1997

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

EXOS ASSET MANAGEMENT LLC

CRD#: 305706 / SEC#: 801-119726

RIA

Registered Investment Advisory firm - (11/2/2020 Approved)

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Contact information

Main Address

35 W 35th Street Fifth Floor, New York, NY 10001

Mailing Address

Phone number

(646) 814-0996

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

EXOS ASSET MANAGEMENT LLC (2025) (2/27/2025)

Regulatory assets under management

Total Number of Accounts	4
AUM (Assets Under Management)	$ 99,530,296

Exempt reporting advisers

Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.

SEC / JURISDICTION	REPORTING STATUS	EFFECTIVE DATE
SEC	ERA - Withdrawn	10/1/2020

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Michael Forstl

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Forstl's CRS (Customer Relationship Summary).

Certified licenses

Experience

EXOS SECURITIES LLC

EXOS ASSET MANAGEMENT LLC

MORGAN CREEK CAPITAL DISTRIBUTORS, LLC

MORGAN CREEK CAPITAL MANAGEMENT, LLC

VOYA INVESTMENT MANAGEMENT CO. LLC

VOYA INVESTMENTS DISTRIBUTOR, LLC

RITTENHOUSE ASSET MANAGEMENT, INC.

NUVEEN FUND ADVISORS, LLC

NUVEEN SECURITIES, LLC

INVESCO CAPITAL MARKETS, INC.

Primary Firm SEC Registration

EXOS ASSET MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/18/1996

Series 63

Date: 8/11/1989

SIE

Date: 10/1/2018

Series 7

Date: 5/16/1987

Series 14

Date: 1/2/2023

Series 24

Date: 7/3/1997

FINRA

Current Firm

EXOS ASSET MANAGEMENT LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Exempt reporting advisers

Red Flags

Company Information

EXOS ASSET MANAGEMENT LLC

TRUST BUT VERIFY

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