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.

Current firm

FOUNDERS FINANCIAL ALLIANCE, 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

Feb 9, 2006earliest registration or exam on IAPD

Years in industry

20derivedfrom the industry start date

Years at current firm

0derivedfrom the current registration's begin date

Prior firms

2

Current registrations

1

Registered states

1

Exams

S63|S65

First exam

Feb 9, 2006

First registration

Feb 2, 2011

Dual registered

yes, broker-dealer

IAPD individual key

5075948

• Occurred

  May 11, 2026
  Advisor changed firm

  James Richard Batey left Valic Financial Advisors, Inc. for Founders Financial Alliance, Llc (registered 2026-04-30)

  Form ADVobserved 5 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:889237bb-7f77-1dbb-1110-613f4ea1303e

First observed

Feb 2, 2011

Last observed

Sep 14, 2026 6 days ago

Source families

Federal regulator filings

1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.

Resolution

Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.