NB
Nirav R. Batavia
FORUM FINANCIAL MANAGEMENT, LP
Lombard, IL 60148
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CRD#: 4699593
NB
Professional summary
Nirav Rajen Batavia, who also goes by Nirav Batavia, is a registered financial advisor currently at FORUM FINANCIAL MANAGEMENT, LP located in Lombard, Illinois.
Nirav is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. Nirav has worked at 4 firms and has passed the Series 65, Series 63, Series 55, Series 3 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Nirav Batavia
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.
1) Owl Technologies, LLC; Not investment-related; 1900 South Highland Avenue, Lombard, IL 60148; Technology development and licensing; Manager; 9/2014; 20 hours/month devoted; 0 hours during securities trading hours; Management and development of firm. 2) Owl Finance, Inc.; Not investment-related; 5405w Margaret St. Box 383 Monee, IL 60449; Holding company; President; 03/2011; 0 hours/month devoted; 0 hours during securities trading hours; No direct activities. 3) F.A.M. LLC; Not investment related; 1900 S. Highland Ave. Suite 100 Lombard, IL 60148; General Partner to Forum Financial Management, LP; Member; 01/2015; Less than 5 hours per month; Less than 5 hours during securities trading hours; provide certain management services pursuant to Forum Financial Management, LP as part of a service agreement. 4) Forum Shared Services; Not investment related; 1900 S. Highland Ave. Suite 100, Lombard, IL 60148; Managed Services Company; Director; 10/2020; Less than 5 hours per month; Less than 5 hours during securities trading hours; provide certain management services pursuant to Forum Financial Management, LP as part of a service agreement.
CRS (Client Relationship Summary) - RIA
Click below to view Nirav Rajen Batavia's 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®
NoneExperience
Current
September 12, 2014 - Present
FORUM FINANCIAL MANAGEMENT, LP
Office #1: 1900 South Highland Avenue Suite 100, Lombard, IL 60148RIA
CRD#: 145706
Lombard, IL
Past
January 27, 2012 - December 17, 2014
OWL INVEST
RIA
CRD#: 159208
CHICAGO, IL
Past
April 14, 2008 - December 5, 2008
HAYMAN MUNICIPAL STRATEGIES, LLC
RIA
CRD#: 146910
DALLAS, TX
Past
October 15, 2003 - February 11, 2008
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
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".
FF
FORUM FINANCIAL MANAGEMENT, LP
FORUM | WEALTH ADVISER ALLIANCE | FORUM FINANCIAL MANAGEMENT, LP | FORUM FINANCIAL MANAGEMENT, LLC | FORUM FINANCIAL
CRD#: 145706 / SEC#: 801-69970
RIA
Registered Investment Advisory firm - (3/9/2009 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.Highlighted states indicate IAR registrations
IAR
Illinois(9/12/2014)
IAR
Texas(11/4/2014)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 55
Date: 11/3/2003
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
Current Firm
FF
FORUM FINANCIAL MANAGEMENT, LP
FORUM | WEALTH ADVISER ALLIANCE | FORUM FINANCIAL MANAGEMENT, LP | FORUM FINANCIAL MANAGEMENT, LLC | FORUM FINANCIAL
CRD#: 145706 / SEC#: 801-69970
RIA
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Contact information
Main Address
1900 South Highland Avenue Suite 100, Lombard, IL 60148
Mailing Address
Phone number
(630) 873-8520
Established
Firm type
Fiscal year end
# of Employees
140
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 21,456 |
| AUM (Assets Under Management) | $ 9,030,636,924 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/08/2025 | ||
| 12/20/2024 | ||
| 10/19/2023 |
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.
