Foreside Financial Group

Foreside provides customized distribution and compliance solutions to the asset management industry. The firm specializes in fund, broker-dealer and adviser compliance services, distribution consulting, legal underwriting and FINRA licensing to U.S. and non-U.S. sponsors of closed-end, open-end, Exchange Traded Products and private placements. Foreside’s cost-effective, tailored solutions allow our clients to focus on portfolio management and business growth while continuing to adhere to distribution and compliance best practices. Foreside’s clients include mutual fund managers, exchange traded product sponsors, retail and institutional broker dealers, hedge funds and private equity firms.

TypeSubsidiary
Parent CompanyLovell Minnick Partners
HQPortland, ME, US
Founded1998
Websiteforeside.com
Cybersecurity ratingCMore
Foreside Financial Group was founded in 1998 and is headquartered in Portland, ME, US

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Key People/Management at Foreside Financial Group

Richard Berthy

Richard Berthy

Chief Executive Officer
Mark Alcaide

Mark Alcaide

Senior Managing Director, Consulting
Emmy Bernard

Emmy Bernard

Senior Managing Director, Client Development
Jennifer Hoopes

Jennifer Hoopes

Senior Managing Director and General Counsel
Christopher Lanza

Christopher Lanza

Senior Managing Director, Distribution
Charles Todd

Charles Todd

Senior Managing Director, Fund Officers
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Foreside Financial Group Office Locations

Foreside Financial Group has offices in Portland, Berwyn, Boston, Columbus and in 5 other locations
Portland, ME, US (HQ)
Three Canal Plaza, 3 Canal Plaza #100
Berwyn, PA, US
899 Cassatt Road, 400 Berwyn Park Rd Suite 110
Berwyn, PA, US
Berwyn Park
Boston, MA, US
10 High St #302a
Columbus, OH, US
690 Taylor Rd #210
Concord, NH, US
10 Ferry St #425
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Foreside Financial Group Financials and Metrics

Summary Metrics

Founding Date

1998
Foreside Financial Group is a subsidiary of Lovell Minnick Partners

Foreside Financial Group Cybersecurity Score

Cybersecurity ratingPremium dataset

C

77/100

SecurityScorecard logo

Foreside Financial Group Online and Social Media Presence

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Foreside Financial Group News and Updates

SalesFocus Solutions Partners with Foreside Financial Group

SAN FRANCISCO, Feb. 19, 2020 /PRNewswire/ -- SalesFocus Solutions, a Fintech leader servicing asset management firms has entered into a partner program with Foreside Financial Group ("Foreside"), a global provider of compliance technology solutions and product distribution services to the...

Foreside Financial Group Blogs

Foreside unveils solution for breakaway RIAs

Foreside unveils solution for breakaway RIAs Comprehensive platform helps mitigate liabilities and risk for successful transition PORTLAND, Maine — January 21, 2021 — Foreside Financial Group, LLC (“Foreside”), a provider of governance, risk management, and compliance service and technology offerin…

Successful Breakaway Requires Planning

Running an independent registered investment adviser (RIA) presents many possibilities. Diligent advance planning is critical to a successful transition from a traditional brokerage arrangement to an RIA. This paper identifies those areas that an individual should consider and provides some … The po…

Nicsa Strategic Leadership Forum

… The post Nicsa Strategic Leadership Forum appeared first on Foreside.

DOL’s Final Rule on Investment Duties of ERISA Fiduciaries Becomes Effective

Overview The final rule issued by the Department of Labor (“DOL”) prescribing the obligations of ERISA fiduciaries when selecting investments for ERISA plans became effective January 12, 2021 (the “Final Rule”). The Final Rule, which emphasizes the responsibility of fiduciaries to focus…

New Ad Rule Ambiguity Could Hinder Use by Advisors

The industry had waited decades for an update to the SEC’s advertising rules, but now that it’s here, a lack of clarity regarding some parts of the changes could slow advisors from using the new marketing flexibility, say industry watchers … The post New Ad Rule Ambiguity Could Hinder Use by Adviso…

401(k) Plans Prefer Funds with Rev Share: Researchers

Revenue sharing collected by retirement plan recordkeepers results in higher overall expenses for participants and influences plan menu design, according to a new paper by SSRN. The report covers data from plan-level disclosures filed between 2009 to 2013 by the … The post 401(k) Plans Prefer Funds…
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Foreside Financial Group Frequently Asked Questions

  • When was Foreside Financial Group founded?

    Foreside Financial Group was founded in 1998.

  • Who are Foreside Financial Group key executives?

    Foreside Financial Group's key executives are Richard Berthy, Mark Alcaide and Emmy Bernard.

  • How many employees does Foreside Financial Group have?

    Foreside Financial Group has 239 employees.

  • Who are Foreside Financial Group competitors?

    Competitors of Foreside Financial Group include PRI International, Vistra Group and IncParadise.

  • Where is Foreside Financial Group headquarters?

    Foreside Financial Group headquarters is located at Three Canal Plaza, 3 Canal Plaza #100, Portland.

  • Where are Foreside Financial Group offices?

    Foreside Financial Group has offices in Portland, Berwyn, Boston, Columbus and in 5 other locations.

  • How many offices does Foreside Financial Group have?

    Foreside Financial Group has 10 offices.