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RIA / WealthAdvisor29 years in industry

CRAIG BENNETT ROTH

Advisor at FOUNDATIONS INVESTMENT ADVISORS LLC

PHOENIX, AZ | Renton, WA

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Search this name across graphsid dfx:ria:46fda989-f86c-c960-4e05-853512ede77f

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 11:26 AM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 2
On other graphs: 0
Observed: Apr 17, 2003 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: FOUNDATIONS INVESTMENT ADVISORS LLC
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Nov 14, 1996earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 11
Current registrations: 1
Registered states: 1
Exams: S65|S63
First exam: Nov 14, 1996
First registration: Apr 17, 2003
Dual registered: no
Other names: CRAIG B ROTH|Craig B Roth
IAPD individual key: 2162815

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
FOUNDATIONS INVESTMENT ADVISORS LLC	Independent wealth	Oct 22, 2025	n/a	yes	Renton, WA\|PHOENIX, AZ	Current employment
B.O.S.S. RETIREMENT ADVISORS, LLC	Independent wealth	Apr 18, 2024	Oct 6, 2025	no	Bellevue, WA\|LEHI, UT\|Kirkland, WA	Previous registration
WAYFINDING FINANCIAL, LLC	Independent wealth	Apr 1, 2021	Apr 15, 2024	no	LYNNWOOD, WA	Previous registration
ADAMS FINANCIAL CONCEPTS, LLC	Former SEC adviser	Jan 27, 2021	Mar 30, 2021	no	SEATTLE, WA	Previous registration
GOLDBLOOM WEALTH MANAGEMENT LLC	State registered	Jun 11, 2018	Jan 26, 2021	no	MERCER ISLAND, WA	Previous registration
CUNA BROKERAGE SERVICES, INC.	Former SEC adviser	May 18, 2017	Apr 17, 2018	no	Renton, WA\|Fort Worth, TX\|Seattle, WA	Previous registration
GLOBAL FINANCIAL PRIVATE CAPITAL, INC.	Former SEC adviser	Jul 6, 2015	Nov 28, 2016	no	BELLEVUE, WA\|SARASOTA, FL	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	May 23, 2013	Feb 24, 2015	no	WOODINVILLE, WA\|BELLEVUE, WA	Previous registration
E*TRADE CAPITAL MANAGEMENT, LLC	Former SEC adviser	Dec 2, 2011	Apr 17, 2013	no	ARLINGTON, VA	Previous registration
KOVACK ADVISORS, INC.	Bd affiliated wealth	Jun 26, 2006	Dec 6, 2011	no	FT. LAUDERDALE, FL\|ALPHARETTA, GA	Previous registration
KOVACK SECURITIES INC.	n/a	Jun 23, 2006	Aug 15, 2006	no	ROSWELL, GA\|ALPHARETTA, GA\|FT. LAUDERDALE, FL	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Apr 17, 2003	Jul 13, 2006	no	ALPHARETTA, GA\|ALPHARETTA, GA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
B.O.S.S. RETIREMENT ADVISORS, LLC	FOUNDATIONS INVESTMENT ADVISORS LLC	Oct 6, 2025	Oct 22, 2025	16	Firm change	RIA to RIA
WAYFINDING FINANCIAL, LLC	B.O.S.S. RETIREMENT ADVISORS, LLC	Apr 15, 2024	Apr 18, 2024	3	Firm change	RIA to RIA
ADAMS FINANCIAL CONCEPTS, LLC	WAYFINDING FINANCIAL, LLC	Mar 30, 2021	Apr 1, 2021	2	Firm change	RIA to RIA
GOLDBLOOM WEALTH MANAGEMENT LLC	ADAMS FINANCIAL CONCEPTS, LLC	Jan 26, 2021	Jan 27, 2021	1	Firm change	Other
CUNA BROKERAGE SERVICES, INC.	GOLDBLOOM WEALTH MANAGEMENT LLC	Apr 17, 2018	Jun 11, 2018	55	Firm change	RIA to state RIA
GLOBAL FINANCIAL PRIVATE CAPITAL, INC.	CUNA BROKERAGE SERVICES, INC.	Nov 28, 2016	May 18, 2017	171	Firm change	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	GLOBAL FINANCIAL PRIVATE CAPITAL, INC.	Feb 24, 2015	Jul 6, 2015	132	Firm change	Other
E*TRADE CAPITAL MANAGEMENT, LLC	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Apr 17, 2013	May 23, 2013	36	Firm change	Other
KOVACK ADVISORS, INC.	E*TRADE CAPITAL MANAGEMENT, LLC	Dec 6, 2011	Dec 2, 2011	-4	Firm change	Other
KOVACK SECURITIES INC.	KOVACK ADVISORS, INC.	Aug 15, 2006	Jun 26, 2006	-50	Firm change after gap	Other
CITIGROUP GLOBAL MARKETS INC.	KOVACK SECURITIES INC.	Jul 13, 2006	Jun 23, 2006	-20	Firm change	Other

Relationships

Registered with (12)

→ FOUNDATIONS INVESTMENT ADVISORS LLCRegistered adviserregistration: current employment
Oct 22, 2025 to presentfactForm ADV
→ B.O.S.S. RETIREMENT ADVISORS, LLCRegistered adviserregistration: previous registration
Apr 18, 2024 to Oct 6, 2025factForm ADV
→ WAYFINDING FINANCIAL, LLCRegistered adviserregistration: previous registration
Apr 1, 2021 to Apr 15, 2024factForm ADV
→ ADAMS FINANCIAL CONCEPTS, LLCRegistered adviserregistration: previous registration
Jan 27, 2021 to Mar 30, 2021factForm ADV
→ GOLDBLOOM WEALTH MANAGEMENT LLCRegistered adviserregistration: previous registration
Jun 11, 2018 to Jan 26, 2021factForm ADV
→ CUNA BROKERAGE SERVICES, INC.Registered adviserregistration: previous registration
May 18, 2017 to Apr 17, 2018factForm ADV
→ GLOBAL FINANCIAL PRIVATE CAPITAL, INC.Registered adviserregistration: previous registration
Jul 6, 2015 to Nov 28, 2016factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
May 23, 2013 to Feb 24, 2015factForm ADV
→ E*TRADE CAPITAL MANAGEMENT, LLCRegistered adviserregistration: previous registration
Dec 2, 2011 to Apr 17, 2013factForm ADV
→ KOVACK ADVISORS, INC.Registered adviserregistration: previous registration
Jun 26, 2006 to Dec 6, 2011factForm ADV
→ KOVACK SECURITIES INC.Registered adviserregistration: previous registration
Jun 23, 2006 to Aug 15, 2006factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Apr 17, 2003 to Jul 13, 2006factForm ADV

Dated events

Occurred
Oct 6, 2025
Advisor changed firm
Craig Bennett Roth left B.O.S.S. Retirement Advisors, Llc for Foundations Investment Advisors Llc (registered 2025-10-22)
Form ADVobserved 5 days ago
Occurred
Apr 15, 2024
Advisor changed firm
Craig Bennett Roth left Wayfinding Financial, Llc for B.O.S.S. Retirement Advisors, Llc (registered 2024-04-18)
Form ADVobserved 5 days ago