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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 1b 10b

FOUNDERS FINANCIAL ALLIANCE, LLC

CRD 173011

RALEIGH, NC

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:adb31ba4-337a-2be3-52f2-18fd8e9c865c

Data as of Mar 10, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 8:26 PM UTC and rebuilt at most every 15 minutes.

Relationships: 46
Dated events: 10
On other graphs: 0
Observed: Nov 14, 2016 to Mar 10, 2026
43 observations

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

Firm class: independent wealth managerderivedprivate_client_share=0.96 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=21.0
Regulatory AUM: $1.2BItem 5.F on the latest filing (2026-03-10); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $1.2B
Private client RAUM: $1.1BderivedItem 5.D individuals plus high net worth individuals
Private client share: 96%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 31
RAUM per advisor: $38.3Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 31
Advisory employees: 31
Offices: 14Schedule D 1.F, beyond the principal office
Accounts: 4,229
Individual clients: 1,643
High net worth clients: 711
SEC number: 801-108700
CRD: 173011
Filings on the tape: 43
First filed: Nov 14, 2016
Latest filed: Mar 10, 2026
Organised: Limited Liability Company, NC
Website: foundersfinancialalliance.com

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first; showing 25 of 31

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
LOUIS JOSEPH COSTANZO	Certified Financial Planner\|Chartered Financial Consultant	RALEIGH, NC \| WHEELING, WV \| Wheeling, WV	17	50	n/a	yes
TOMMY WAYNE PORTER	n/a	RALEIGH, NC	11	34	3	yes
JAMES ALLEN SLOOP	n/a	RALEIGH, NC	11	21	1	yes
ERNEST CECCATO	n/a	RALEIGH, NC \| Hickory, NC	10	18	2	yes
DON MICHAEL RUDOLPH	n/a	Greenville, NC \| RALEIGH, NC \| WILMINGTON, NC	10	31	6	no
DUSTIN JOSEPH DEFRANCO	n/a	Wheeling, WV \| RALEIGH, NC	10	19	4	yes
TRINA LOVE COLTRAIN	n/a	RALEIGH, NC \| WILMINGTON, NC	10	17	2	yes
JEFFREY MICHAEL TALLEY	n/a	Locust, NC \| RALEIGH, NC	10	25	1	yes
TERRENCE LYMAN DONOGHUE	n/a	Durham, NC	9	47	2	yes
RALPH JOSEPH AIELLO	n/a	Cary, NC \| RALEIGH, NC	9	26	5	yes
SUSAN C POKWATKA	Certified Financial Planner\|Chartered Financial Consultant	Bluffton, SC \| RALEIGH, NC \| Wheeling, WV	9	32	3	yes
Mark McCormick	n/a	Raleigh, NC	8	12	1	no
John Robert Lawson	n/a	Pinehurst, NC	8	36	1	no
Brian T Nelan	n/a	Cary, NC	7	21	1	no
WENDY SUSAN CAIN	n/a	Albuquerque, NM	6	41	1	yes
JOHN P. BILLITER	n/a	RALEIGH, NC	6	19	2	yes
RONALD JAMES PERRY	n/a	Bermuda Run, NC	6	36	3	no
BRAD KEVIN PINTER	n/a	Raleigh, NC	6	20	5	no
PAUL ANTHONY BARNETTE	n/a	Wheeling, WV	6	25	2	yes
NICHOLAS E LIVECCHI	Certified Financial Planner	Raleigh, NC	5	15	1	yes
JOSHUA BLAIR SCHMALZ	n/a	Wheeling, WV	5	13	2	yes
ETHAN JAMES PORTER	n/a	Raleigh, NC	4	10	n/a	yes
BRUCE NOEL TRUSHEL	Chartered Financial Consultant	Wheeling, WV	4	42	3	yes
Jacob Britt Lawson	n/a	Pinehurst, NC	2	12	n/a	no
KAREN LUCINDA DIAMOND	n/a	Sarasota, FL	1	36	5	no

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
FOUNDERS WEALTH HOLDINGS, LLC	HOLDING COMPANY	E	yes	01/2018	Mar 10, 2026	Mar 10, 2026
PORTER, TOMMY, WAYNE	MANAGING MEMBER	Na	yes	09/2014	Mar 10, 2026	Mar 10, 2026
SLOOP, JAMES, ALLEN	CHIEF COMPLIANCE OFFICER	Na	yes	03/2017	Mar 10, 2026	Mar 10, 2026
PORTER, TOMMY, WAYNE	MANAGING MEMBER	E	yes	01/2018	Nov 14, 2016	Oct 29, 2024

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
ASSET INSURE, LLC	n/a	n/a	n/a	N	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Raleigh	Nc	United States	5	no
CHAPEL HILL	Nc	United States	2	no
Wheeling	Wv	United States	2	yes
ST. PETERSBURG	FL	United States	1	no
Cary	Nc	United States	1	yes
Locust	Nc	United States	1	yes
Pinehurst	Nc	United States	1	yes
Albuquerque	Nm	United States	1	yes
n/a	n/a	n/a	1	yes
n/a	n/a	n/a	1	yes
n/a	n/a	n/a	1	yes
n/a	n/a	n/a	1	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 10, 2026	$1.2B	$1.2B	31	31	14	n/a	n/a
2024	Mar 21, 2025	$1.0B	$1.0B	32	31	17	n/a	n/a
2023	Mar 14, 2024	$701M	$700M	28	28	14	n/a	n/a
2022	Mar 8, 2023	$617M	$616M	28	28	13	n/a	n/a
2021	Feb 25, 2022	$643M	$642M	30	30	15	n/a	n/a
2020	Feb 16, 2021	$588M	$587M	23	22	16	n/a	n/a
2019	Mar 19, 2020	$318M	$317M	18	15	13	n/a	n/a
2018	Feb 13, 2019	$250M	$249M	20	17	11	n/a	n/a
2017	Mar 12, 2018	$152M	$151M	16	15	11	n/a	n/a
2016	Jan 23, 2017	$69.3M	$69.3M	11	10	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
3	3	0	9.7%	0	0	0	8	4

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$1.2B	$1.0B	18.3%	$617M	24.3%	31	32	14	17

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
OSAIC WEALTH, INC.	3	Apr 22, 2026	Apr 22, 2026	CARY, NC	Team lift out	RIA to ibd	9.1%

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
WELLS FARGO ADVISORS	2	Oct 23, 2024	Oct 7, 2024	SARASOTA, FL	Team lift out	Wirehouse to RIA	0.0%
INDEPENDENT ADVISOR ALLIANCE, LLC	3	Mar 15, 2024	Mar 16, 2024	CARY, NC	Team lift out	RIA to RIA	1.2%
INVEST FINANCIAL CORPORATION	3	Mar 1, 2016	Jul 14, 2016	WILMINGTON, NC	Team lift out	Other	0.5%

Relationships

Registered with (37)

← JAMES RICHARD BATEYAdvisorregistration: current employment
Apr 30, 2026 to presentfactForm ADV
← Heather Nicole DeFrancoAdvisorregistration: current employment
Apr 15, 2026 to presentfactForm ADV
← COLE STEPHEN NOLTEAdvisorregistration: current employment
Feb 24, 2026 to presentfactForm ADV
← GREGORY ROBERT MITROAdvisorregistration: current employment
Jan 5, 2026 to presentfactForm ADV
← DEREK R SIMPSONAdvisorregistration: current employment
Jul 7, 2025 to presentfactForm ADV
← KAREN LUCINDA DIAMONDAdvisorregistration: current employment
Oct 7, 2024 to presentfactForm ADV
← HANTZ DON SERRAOAdvisorregistration: current employment
Oct 7, 2024 to presentfactForm ADV
← Jacob Britt LawsonAdvisorregistration: current employment
Sep 11, 2024 to presentfactForm ADV
← BRUCE NOEL TRUSHELAdvisorregistration: current employment
Jan 14, 2022 to presentfactForm ADV
← ETHAN JAMES PORTERAdvisorregistration: current employment
Dec 6, 2021 to presentfactForm ADV
← JOSHUA BLAIR SCHMALZAdvisorregistration: current employment
Apr 26, 2021 to presentfactForm ADV
← NICHOLAS E LIVECCHIAdvisorregistration: current employment
Feb 19, 2021 to presentfactForm ADV
← PAUL ANTHONY BARNETTEAdvisorregistration: current employment
Aug 25, 2020 to presentfactForm ADV
← BRAD KEVIN PINTERAdvisorregistration: current employment
Jul 15, 2020 to presentfactForm ADV
← RONALD JAMES PERRYAdvisorregistration: current employment
Jul 6, 2020 to presentfactForm ADV
← JOHN P. BILLITERAdvisorregistration: current employment
Jun 19, 2020 to presentfactForm ADV
← WENDY SUSAN CAINAdvisorregistration: current employment
Jan 30, 2020 to presentfactForm ADV
← Brian T NelanAdvisorregistration: current employment
Nov 8, 2018 to presentfactForm ADV
← John Robert LawsonAdvisorregistration: current employment
Jun 24, 2018 to presentfactForm ADV
← Mark McCormickAdvisorregistration: current employment
Jan 25, 2018 to presentfactForm ADV
← SUSAN C POKWATKAAdvisorregistration: current employment
Apr 10, 2017 to presentfactForm ADV
← RALPH JOSEPH AIELLOAdvisorregistration: current employment
Mar 31, 2017 to presentfactForm ADV
← LOUIS JOSEPH COSTANZOAdvisorregistration: current employment
Mar 23, 2017 to presentfactForm ADV
← TERRENCE LYMAN DONOGHUEAdvisorregistration: current employment
Oct 5, 2016 to presentfactForm ADV
← JEFFREY MICHAEL TALLEYAdvisorregistration: current employment
Jul 29, 2016 to presentfactForm ADV
← TRINA LOVE COLTRAINAdvisorregistration: current employment
Jul 14, 2016 to presentfactForm ADV
← DUSTIN JOSEPH DEFRANCOAdvisorregistration: current employment
Apr 8, 2016 to presentfactForm ADV
← DON MICHAEL RUDOLPHAdvisorregistration: current employment
Mar 3, 2016 to presentfactForm ADV
← ERNEST CECCATOAdvisorregistration: current employment
Sep 25, 2015 to presentfactForm ADV
← JAMES ALLEN SLOOPAdvisorregistration: current employment
May 21, 2015 to presentfactForm ADV
and 7 more

Moved with (4)

→ OSAIC WEALTH, INC.Registered adviser3 advisors, team lift out, same day
Apr 22, 2026 to Apr 22, 2026factForm ADV
← WELLS FARGO ADVISORSRegistered adviser2 advisors, team lift out, same day
Oct 23, 2024 to Oct 7, 2024factForm ADV
← INDEPENDENT ADVISOR ALLIANCE, LLCRegistered adviser3 advisors, team lift out, same day
Mar 15, 2024 to Mar 16, 2024factForm ADV
← INVEST FINANCIAL CORPORATIONRegistered adviser3 advisors, team lift out
Mar 1, 2016 to Jul 14, 2016factForm ADV

Controls (3)

← PORTER, TOMMY, WAYNEOwnerMANAGING MEMBER, ownership code E, individual
Nov 14, 2016 to Oct 29, 2024factForm ADV
← SLOOP, JAMES, ALLENOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 9, 2017 to Oct 29, 2024factForm ADV
← FOUNDERS WEALTH HOLDINGS, LLCOwnerHOLDING COMPANY, ownership code E, domestic entity
Mar 23, 2018 to Oct 29, 2024factForm ADV

Dated events

Occurred
Apr 22, 2026
Team lift-out
3 advisors left Founders Financial Alliance, LLC (Cary, NC) for Osaic Wealth, Inc. on the same day
Form ADVobserved 4 days ago
3 advisors
Occurred
Apr 22, 2026
Advisor changed firm
James Michael Mertens left Founders Financial Alliance, Llc for Osaic Wealth, Inc. (registered 2026-04-22)
Form ADVobserved 4 days ago
Occurred
Apr 22, 2026
Advisor changed firm
Kerry Carlton Goodman left Founders Financial Alliance, Llc for Osaic Wealth, Inc. (registered 2026-04-22)
Form ADVobserved 4 days ago
Occurred
Apr 22, 2026
Advisor changed firm
Garrett Steven Railsback left Founders Financial Alliance, Llc for Osaic Wealth, Inc. (registered 2026-04-22)
Form ADVobserved 4 days ago
Occurred
Mar 21, 2025
Regulatory AUM changed
Founders Financial Alliance, Llc reported RAUM $1.0B, up 43% from $700.9M (2024-10-29 to 2025-03-21)
Form ADVobserved 4 days ago
$301M
Occurred
Nov 20, 2024
Advisor changed firm
Marci Piddington Hansen left Founders Financial Alliance, Llc for Hamilton Point Investment Advisors, Llc (registered 2025-01-10)
Form ADVobserved 4 days ago
Occurred
Oct 23, 2024
Team lift-out
2 advisors left Wells Fargo Advisors (Sarasota, FL) for Founders Financial Alliance, LLC on the same day
Form ADVobserved 4 days ago
2 advisors
Occurred
Mar 15, 2024
Team lift-out
3 advisors left Independent Advisor Alliance, LLC (Cary, NC) for Founders Financial Alliance, LLC on the same day
Form ADVobserved 4 days ago
3 advisors
Occurred
Feb 16, 2021
Regulatory AUM changed
Founders Financial Alliance, Llc reported RAUM $588.5M, up 85% from $317.8M (2020-10-30 to 2021-02-16)
Form ADVobserved 4 days ago
$271M
Occurred
Nov 14, 2016
First Form ADV filing
Founders Financial Alliance, Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:adb31ba4-337a-2be3-52f2-18fd8e9c865c
First observed: Nov 14, 2016
Last observed: Mar 10, 2026 6 months ago
Source families: Federal regulator filings
3 registered feeds 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.

FOUNDERS FINANCIAL ALLIANCE, LLC

CRD 173011

RALEIGH, NC

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:adb31ba4-337a-2be3-52f2-18fd8e9c865c

Data as of Mar 10, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 8:26 PM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

LOUIS JOSEPH COSTANZO

Certified Financial Planner|Chartered Financial Consultant

RALEIGH, NC | WHEELING, WV | Wheeling, WV

n/a

yes

TOMMY WAYNE PORTER

n/a

RALEIGH, NC

yes

JAMES ALLEN SLOOP

n/a

RALEIGH, NC

yes

ERNEST CECCATO

n/a

RALEIGH, NC | Hickory, NC

yes

DON MICHAEL RUDOLPH

n/a

Greenville, NC | RALEIGH, NC | WILMINGTON, NC

DUSTIN JOSEPH DEFRANCO

n/a

Wheeling, WV | RALEIGH, NC

yes

TRINA LOVE COLTRAIN

n/a

RALEIGH, NC | WILMINGTON, NC

yes

JEFFREY MICHAEL TALLEY

n/a

Locust, NC | RALEIGH, NC

yes

TERRENCE LYMAN DONOGHUE

n/a

Durham, NC

yes

RALPH JOSEPH AIELLO

n/a

Cary, NC | RALEIGH, NC

yes

SUSAN C POKWATKA

Certified Financial Planner|Chartered Financial Consultant

Bluffton, SC | RALEIGH, NC | Wheeling, WV

yes

Mark McCormick

n/a

Raleigh, NC

John Robert Lawson

n/a

Pinehurst, NC

Brian T Nelan

n/a

Cary, NC

WENDY SUSAN CAIN

n/a

Albuquerque, NM

yes

JOHN P. BILLITER

n/a

RALEIGH, NC

yes

RONALD JAMES PERRY

n/a

Bermuda Run, NC

BRAD KEVIN PINTER

n/a

Raleigh, NC

PAUL ANTHONY BARNETTE

n/a

Wheeling, WV

yes

NICHOLAS E LIVECCHI

Certified Financial Planner

Raleigh, NC

yes

JOSHUA BLAIR SCHMALZ

n/a

Wheeling, WV

yes

ETHAN JAMES PORTER

n/a

Raleigh, NC

n/a

yes

BRUCE NOEL TRUSHEL

Chartered Financial Consultant

Wheeling, WV

yes

Jacob Britt Lawson

n/a

Pinehurst, NC

n/a

KAREN LUCINDA DIAMOND

n/a

Sarasota, FL

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

FOUNDERS WEALTH HOLDINGS, LLC

HOLDING COMPANY

yes

01/2018

Mar 10, 2026

PORTER, TOMMY, WAYNE

MANAGING MEMBER

yes

09/2014

Mar 10, 2026

SLOOP, JAMES, ALLEN

CHIEF COMPLIANCE OFFICER

yes

03/2017

Mar 10, 2026

PORTER, TOMMY, WAYNE

MANAGING MEMBER

yes

01/2018

Nov 14, 2016

Oct 29, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

ASSET INSURE, LLC

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

Raleigh

United States

CHAPEL HILL

United States

Wheeling

United States

yes

ST. PETERSBURG

United States

Cary

United States

yes

Locust

United States

yes

Pinehurst

United States

yes

Albuquerque

United States

yes

n/a

yes

n/a

yes

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 10, 2026

$1.2B

n/a

2024

Mar 21, 2025

$1.0B

n/a

2023

Mar 14, 2024

$701M

$700M

n/a

2022

Mar 8, 2023

$617M

$616M

n/a

2021

Feb 25, 2022

$643M

$642M

n/a

2020

Feb 16, 2021

$588M

$587M

n/a

2019

Mar 19, 2020

$318M

$317M

n/a

2018

Feb 13, 2019

$250M

$249M

n/a

2017

Mar 12, 2018

$152M

$151M

n/a

2016

Jan 23, 2017

$69.3M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

9.7%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$1.2B

$1.0B

18.3%

$617M

24.3%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

OSAIC WEALTH, INC.

Apr 22, 2026

CARY, NC

Team lift out

RIA to ibd

9.1%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

WELLS FARGO ADVISORS

Oct 23, 2024

Oct 7, 2024

SARASOTA, FL

Team lift out

Wirehouse to RIA

0.0%

INDEPENDENT ADVISOR ALLIANCE, LLC

Mar 15, 2024

Mar 16, 2024

CARY, NC

Team lift out

RIA to RIA

1.2%

INVEST FINANCIAL CORPORATION

Mar 1, 2016

Jul 14, 2016

WILMINGTON, NC

Team lift out

Other

0.5%