FORUM FUNDS’ Annual Report identifies fund series S000004568, S000004570, S000033130 and S000037552 under report identifier 0000315774. The record gives investors a clear view of the funds covered and the outside firms assigned to advisory, distribution, custody, shareholder-record and pricing-data functions.

Key Highlights

  • The report lists fund series S000004568, S000004570, S000033130 and S000037552.
  • Auxier Asset Management LLC and D.F. Dent and Company, Inc. are identified as fund advisers.
  • Foreside Fund Services, LLC is named as distributor, U.S. Bank as Custodian and ICE Data Pricing & Reference Data, LLC as a pricing-data provider.

FORUM FUNDS’ annual report lists fund series S000004568, S000004570, S000033130 and S000037552 under report identifier 0000315774. The record links those series with named advisers, a distributor, a custodian, fund-services providers and market-data sources.

Advisers Named For Funds

Auxier Asset Management LLC is identified as adviser for Auxier Focus Fund. D.F. Dent and Company, Inc. is listed as adviser for D.F. Dent Midcap Growth Fund, D.F. Dent Premier Growth Fund and D.F. Dent Small Cap Growth Fund.

The records also identify Apex Fund Services in connection with fund and Shareholder records. Foreside Fund Services, LLC is named as distributor for the trust. U.S. Bank is listed as custodian for the trust.

Service Network Set Out

Apex Fund Services appears with SEC file number 84-06277. Foreside Fund Services, LLC is associated with SEC file number 8-51293 and registration number 000046106.

ICE Data Pricing & Reference Data, LLC is listed as a pricing-data provider for the records. London Stock Exchange Group also appears in the market-data information.

Foreside Fund Services, LLC is associated with 190 MIDDLE STREET, SUITE 301, Portland 04101.

Fund Records Carry Broker Entries

Broker entries include J.P. Morgan Securities LLC, Raymond James & Associates, Inc. Stifel, Nicolaus & Company, Incorporated, William Blair & Company, L.L.C. Robert W. Baird & Co. Incorporated, Stephens, Inc. and Rosenblatt (Richard A) & Company.

The Auxier Focus Fund record lists Stifel at 461.25000000, Charles Schwab & Co Inc at 749.25000000, Barrington Research Associates, Inc. at 947.45000000, RBC Capital Markets, LLC at 1918.50000000 and Clear Street, LLC at 4310.90000000. The same record shows 8387.35000000.

The D.F. Dent Midcap Growth Fund record includes J.P. Morgan Securities LLC at 765.25000000 and Raymond James & Associates, Inc. at 38496.80000000. Stifel appears at 15487.60000000, William Blair at 12260.90000000 and Robert W. Baird at 45964.25000000.

The D.F. Dent Premier Growth Fund record includes J.P. Morgan Securities LLC at 4995.20000000, Raymond James & Associates, Inc. at 15997.55000000, Stifel at 10784.95000000, William Blair at 11823.65000000, Stephens at 1535.55000000 and Robert W. Baird at 22971.70000000.

Source(s)

  • https://www.sec.gov/Archives/edgar/data/315774/000031577426000256/primary_doc.xml