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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 10b 100b

FOUNDATIONS INVESTMENT ADVISORS LLC

CRD 175083

PHOENIX, AZ

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Search this name across graphsid dfx:ria:f81a9c81-b989-3dff-b913-46e14ca1d59b

Data as of Sep 3, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 3:31 PM UTC and rebuilt at most every 15 minutes.

Relationships: 547
Dated events: 40
On other graphs: 0
Observed: Jun 30, 2015 to Sep 3, 2026
77 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=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $10BItem 5.F on the latest filing (2026-09-03); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $10B
Private client RAUM: $10BderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 298
RAUM per advisor: $33.9Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 353
Advisory employees: 289
Offices: 85Schedule D 1.F, beyond the principal office
Accounts: 63,604
Individual clients: 23,568
High net worth clients: 6,047
Custody, client assets: $212M
SEC number: 801-100512
CIK: 1743404
CRD: 175083
Filings on the tape: 77
First filed: Jun 30, 2015
Latest filed: Sep 3, 2026
Organised: Limited Liability Company, AZ
Website: fiwealth.com

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first; showing 25 of 295

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
ERNEST ANTHONY BAILLARGEON	n/a	Scottsdale, AZ \| PEORIA, AZ \| Phoenix, AZ \| PHOENIX, AZ	11	11	1	no
EDWARD FRIEDEL KINSEY	n/a	Farmington, UT \| PHOENIX, AZ	11	19	1	no
BRADLEY PAUL MALIA	n/a	TAMPA, FL \| PHOENIX, AZ \| CARTERSVILLE, GA \| KENNESAW, GA	11	11	n/a	no
RICHARD M ROETHEL	n/a	PHOENIX, AZ \| Farmington, UT	10	20	n/a	no
RICHARD JOHN PELLETIER	n/a	West Springfield, MA \| PHOENIX, AZ \| PUNTA GORDA, FL	10	29	n/a	no
Lance Gilman	n/a	STAMFORD, CT \| PHOENIX, AZ \| HALLOWELL, ME	10	17	n/a	no
PETER Thomas HANSON	n/a	Saco, ME \| PHOENIX, AZ	10	12	n/a	no
Christopher A Shelton	n/a	Ellsworth, ME \| Portland, ME \| PHOENIX, AZ \| BLUE HILL, ME	10	12	n/a	no
Jeffrey Michael Truchon	n/a	PHOENIX, AZ \| Augusta, ME \| Bangor, ME	9	10	n/a	no
Marc Montini	n/a	PHOENIX, AZ \| Phoenix, AZ	9	11	n/a	no
Susan Marguerite McBournie	n/a	PHOENIX, AZ \| MOULTONBOROUGH, NH	9	12	1	no
MATTHEW JOHN DUNN	n/a	PHOENIX, AZ \| WORCESTER, MA	9	15	1	no
MARTIN JACOB DOLPH	n/a	PHOENIX, AZ \| WOODRIDGE, IL	9	11	n/a	no
FRANCIS JOSEPH HEBERT	n/a	ELDERSBURG, MD \| PHOENIX, AZ \| Odenton, MD	9	34	5	no
KEVIN EARL SKALTSIS	Certified Financial Planner	PHOENIX, AZ \| EAST GREENWICH, RI	9	18	4	no
MARCIA LYNN BERNSTEIN	n/a	PHOENIX, AZ \| AVON, CT	9	26	1	no
Jeremy P Barnard	n/a	LISBON FALLS, ME \| PHOENIX, AZ	9	10	n/a	no
Jimmy Wayne Hagy	n/a	Chattanooga, TN \| ATLANTA, GA \| PHOENIX, AZ	9	12	n/a	no
CRAIG STEPHEN HEBERT	n/a	PHOENIX, AZ \| ELDERSBURG, MD	8	24	n/a	no
Daniel Richard Murphy	n/a	PHOENIX, AZ \| PEORIA, AZ	8	15	2	no
Stewart A Willis	n/a	Denver, CO \| Henderson, NV \| PHOENIX, AZ \| PEORIA, AZ \| Lake Oswego, OR \| Scottsdale, AZ	8	21	1	no
DARREN LAMARE LUNDY	n/a	Westerville, OH \| PHOENIX, AZ	8	29	2	no
MICHELINE A DAGHER	n/a	BURLINGTON, MA \| WALPOLE, MA \| PHOENIX, AZ \| PROVIDENCE, RI	8	15	1	no
JUNE MARIE BRAITHWAITE	n/a	PHOENIX, AZ \| LAKEWOOD RANCH, FL	7	10	n/a	no
RYAN ALLEN BREEDWELL	n/a	PHOENIX, AZ \| ROSEVILLE, CA	7	10	n/a	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
COOKSEY, JOSHUA, RYAN	Coo	Na	yes	09/2025	Sep 3, 2026	Sep 3, 2026
Florence, Jarrod, Dale	President	Na	yes	02/2022	Sep 3, 2026	Sep 3, 2026
THE BRYON AND KIRSTEN RICE	Owner	E	yes	03/2015	Sep 3, 2026	Sep 3, 2026
RICE, BRYON	OWNER / CEO	E	yes	03/2015	Jun 30, 2015	Nov 23, 2024
MANN, KYLE, MICHAEL	CHIEF FINANCIAL OFFICER	Na	no	12/2018	Sep 3, 2026	Sep 3, 2026
PUGSLEY, MARC, JAMES	CHIEF COMPLIANCE OFFICER	Na	no	11/2024	Sep 3, 2026	Sep 3, 2026
REITAN, EMILY, SUZANNE	Coo	Na	no	08/2024	Oct 1, 2024	Nov 23, 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
OMEGA WEALTH PRIVATE CAPITAL LLC	n/a	State registered	$102M	N	no	n/a
ALPHA 1 TAX AND WEALTH MANAGEMENT, LLC	n/a	n/a	n/a	N	yes	n/a
ASSET PRESERVATION TAX & RETIREMENT, LLC	n/a	n/a	n/a	N	yes	n/a
CHARTER LAW GROUP, LLC	n/a	n/a	n/a	N	yes	n/a
MAGELLAN FINANCIAL & INSURANCES SERVICES INC.	n/a	n/a	n/a	N	yes	n/a
MAGELLAN HEALTHCARE, 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
Denver	Co	United States	5	no
WEST SPRINGFIELD	Ma	United States	4	no
Wichita	Ks	United States	3	no
Auburn	Me	United States	3	no
FARMINGTON HILLS	Mi	United States	3	no
Minnetonka	Mn	United States	3	no
Grapevine	TX	United States	3	no
Walpole	Ma	United States	2	no
BINGHAM FARMS	Mi	United States	2	no
Zelienople	Pa	United States	2	no
Chattanooga	Tn	United States	2	no
Phoenix	Az	United States	1	no
Surprise	Az	United States	1	no
Sacramento	CA	United States	1	no
GRAND JUNCTION	Co	United States	1	no
WEST HARTFORD	Ct	United States	1	no
Tampa	FL	United States	1	no
Topeka	Ks	United States	1	no
Augusta	Me	United States	1	no
Chataanooga	Tn	United States	1	no
Franklin	Tn	United States	1	no
Austin	TX	United States	1	no
LEAGUE CITY	TX	United States	1	no
Farmington	Ut	United States	1	no
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 27, 2026	$10B	$10B	353	289	85	n/a	n/a
2024	Apr 29, 2025	$7.2B	$7.1B	284	229	85	n/a	n/a
2023	Mar 29, 2024	$5.4B	$5.4B	240	187	85	n/a	n/a
2022	Mar 31, 2023	$3.8B	$3.7B	229	182	85	n/a	n/a
2021	Mar 31, 2022	$3.2B	$3.1B	237	188	85	n/a	n/a
2020	Mar 29, 2021	$1.9B	$1.8B	163	138	85	n/a	n/a
2019	Mar 30, 2020	$1.2B	$1.1B	134	116	84	n/a	n/a
2018	Feb 6, 2019	$552M	$533M	98	98	76	n/a	n/a
2017	Apr 2, 2018	$404M	$397M	88	88	70	n/a	n/a
2016	Mar 1, 2017	$100M	$95.7M	47	43	n/a	n/a	n/a
2015	Mar 28, 2016	$15.0M	$15.0M	31	28	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
78	59	19	19.8%	12	10	0	179	116

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	$10B	$7.2B	40.5%	$3.8B	39.0%	353	284	85	85

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
RISE NORTH CAPITAL INVESTMENT ADVISORS	3	Mar 4, 2026	May 7, 2026	PHOENIX, AZ	Team lift out	RIA to new firm	1.0%
RISE NORTH CAPITAL INVESTMENT ADVISORS	4	Mar 4, 2026	Dec 9, 2025	BRAINTREE, MA	Team lift out	RIA to new firm	1.4%
RISE NORTH CAPITAL INVESTMENT ADVISORS	4	Mar 4, 2026	Dec 9, 2025	NASHUA, NH	Team lift out	RIA to new firm	1.4%
MARKET INVESTMENT GROUP, LLC	2	Sep 30, 2025	Jun 4, 2025	PHOENIX, AZ	Team lift out	RIA to RIA	0.8%
ADVISORNET WEALTH PARTNERS	3	Mar 3, 2025	Feb 23, 2026	MINNETONKA, MN	Team lift out	RIA to RIA	1.4%
RWM CAPITAL, LLC	2	Oct 30, 2024	Oct 4, 2023	MOBILE, AL	Team lift out	RIA to RIA	1.0%
RWM CAPITAL, LLC	2	Oct 30, 2024	Oct 6, 2023	PENSACOLA, FL	Team lift out	RIA to RIA	1.0%
SIMPLICITY WEALTH	2	Aug 15, 2024	Jan 2, 2025	WINDHAM, NH	Team lift out	Other	1.1%
SL CAPITAL	3	Mar 1, 2024	Dec 6, 2023	PHOENIX, AZ	Team lift out	RIA to new firm	1.9%
AE WEALTH MANAGEMENT, LLC	2	Mar 15, 2023	Mar 16, 2023	PHOENIX, AZ	Team lift out	RIA to ibd	1.3%
J.M. ARBOUR, LLC	3	Aug 2, 2022	Jun 24, 2022	PHOENIX, AZ	Team lift out	RIA to new firm	2.1%
FIAT WEALTH MANAGEMENT	2	Jun 3, 2022	Feb 22, 2022	PHOENIX, AZ	Team lift out	RIA to new firm	1.3%
FIAT WEALTH MANAGEMENT	6	Jun 3, 2022	Aug 9, 2022	WAYZATA, MN	Team lift out	RIA to new firm	4.0%
HARBOUR INVESTMENTS, INC.	2	Mar 21, 2016	Mar 30, 2016	PHOENIX, AZ	Team lift out	Other	12.5%
ADVISORY SERVICES NETWORK	3	Mar 11, 2016	Mar 23, 2016	PHOENIX, AZ	Team lift out	Other	15.8%

Teams in

teams that arrived here from one firm together; showing 20 of 21

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
OXFORD WEALTH GROUP, LLC	2	Jun 29, 2026	Jul 8, 2026	ORLANDO, FL	Team lift out	RIA to RIA	22.2%
AE WEALTH MANAGEMENT, LLC	3	Dec 17, 2025	Jan 15, 2026	SANDY, UT	Team lift out	Ibd to RIA	0.7%
RETIREMENT FINANCIAL GROUP, LLC	2	Nov 3, 2025	Nov 4, 2025	THE WOODLANDS, TX	Team lift out	RIA to RIA	33.3%
PROSPERITY CAPITAL ADVISORS	2	Oct 1, 2025	Sep 22, 2025	MELBOURNE, FL	Team lift out	RIA to RIA	1.8%
PROSPERITY CAPITAL ADVISORS	3	Oct 1, 2025	Sep 23, 2025	ST LOUIS, MO	Team lift out	RIA to RIA	2.8%
PROSPERITY CAPITAL ADVISORS	7	Oct 1, 2025	Sep 23, 2025	WESTLAKE, OH	Team lift out	RIA to RIA	6.4%
SOUND INCOME STRATEGIES, LLC	2	Aug 29, 2025	Sep 11, 2025	NORMAN, OK	Team lift out	RIA to RIA	1.8%
CREATIVEONE WEALTH, LLC	2	Jun 17, 2025	Jun 23, 2025	BRISTOL, RI	Team lift out	RIA to RIA	1.0%
SOUND INCOME STRATEGIES, LLC	2	May 15, 2025	Jun 4, 2025	WARETOWN, NJ	Team lift out	RIA to RIA	2.0%
AE WEALTH MANAGEMENT, LLC	2	May 7, 2025	May 13, 2025	FORT WORTH, TX	Team lift out	Ibd to RIA	0.5%
TEXAS FINANCIAL ADVISORY	5	Dec 22, 2024	Jan 14, 2025	SAN ANTONIO, TX	Firm absorbed	RIA to RIA	100.0%
MADISON AVENUE SECURITIES, LLC	2	Jul 1, 2024	Jul 2, 2024	INDIANAPOLIS, IN	Team lift out	Ibd to RIA	2.5%
AE WEALTH MANAGEMENT, LLC	2	Aug 16, 2023	Aug 17, 2023	FRIENDSWOOD, TX	Team lift out	Ibd to RIA	0.5%
AE WEALTH MANAGEMENT, LLC	3	Jun 21, 2023	Jul 6, 2023	LEAGUE CITY, TX	Team lift out	Ibd to RIA	0.8%
AE WEALTH MANAGEMENT, LLC	3	May 16, 2023	May 30, 2023	GRAPEVINE, TX	Team lift out	Ibd to RIA	0.8%
AEGIS WEALTH MANAGEMENT, INC.	2	Mar 6, 2023	Mar 9, 2023	GUTHRIE CENTER, IA	Team lift out	RIA to RIA	10.0%
ALPHASTAR CAPITAL MANAGEMENT	2	May 4, 2022	Jul 21, 2022	WEST HARTFORD, CT	Team lift out	RIA to RIA	2.1%
FIRST FINANCIAL EQUITY CORPORATION	2	Apr 22, 2022	May 11, 2022	SCOTTSDALE, AZ	Team lift out	Ibd to RIA	15.4%
SIMPLICITY WEALTH	2	Apr 12, 2021	May 19, 2021	LAFAYETTE, LA	Team lift out	RIA to RIA	6.5%
ADVISORNET WEALTH PARTNERS	2	Dec 7, 2020	Dec 15, 2020	MINNEAPOLIS, MN	Team lift out	RIA to RIA	1.9%

Relationships

showing 80 of 547

Registered with (79)

← Lee Merrill PorterAdvisorregistration: current employment
Sep 12, 2026 to presentfactForm ADV
← Hector Jose Bones RiveraAdvisorregistration: current employment
Sep 4, 2026 to presentfactForm ADV
← Aden Keith ParteeAdvisorregistration: current employment
Sep 1, 2026 to presentfactForm ADV
← Charles Anderson WoyAdvisorregistration: current employment
Aug 31, 2026 to presentfactForm ADV
← Michael LankfordAdvisorregistration: current employment
Aug 26, 2026 to presentfactForm ADV
← JONATHAN MOSER SPATZAdvisorregistration: current employment
Aug 18, 2026 to presentfactForm ADV
← William R WatsonAdvisorregistration: current employment
Aug 18, 2026 to presentfactForm ADV
← BRENDAN SHEA BAYRONAdvisorregistration: current employment
Aug 18, 2026 to presentfactForm ADV
← Jacob Lawrence HollemanAdvisorregistration: current employment
Aug 17, 2026 to presentfactForm ADV
← Anthony LaRoccaAdvisorregistration: current employment
Aug 12, 2026 to presentfactForm ADV
← Martin Charles O'ShaughnessyAdvisorregistration: current employment
Aug 7, 2026 to presentfactForm ADV
← Collin Charles TurnerAdvisorregistration: current employment
Aug 5, 2026 to presentfactForm ADV
← Caleb Alexander CaldwellAdvisorregistration: current employment
Aug 3, 2026 to presentfactForm ADV
← Jeremy David ThomasAdvisorregistration: current employment
Jul 22, 2026 to presentfactForm ADV
← ELLA JOHNSONAdvisorregistration: current employment
Jul 22, 2026 to presentfactForm ADV
← Weylin McAdamsAdvisorregistration: current employment
Jul 20, 2026 to presentfactForm ADV
← Ryan Elliott HanninenAdvisorregistration: current employment
Jul 17, 2026 to presentfactForm ADV
← CHRISTOPHER LeRoy WILLIAMSAdvisorregistration: current employment
Jul 14, 2026 to presentfactForm ADV
← SCOTT A MIZENKOAdvisorregistration: current employment
Jul 10, 2026 to presentfactForm ADV
← MATTHEW RAYMOND HISEYAdvisorregistration: current employment
Jul 9, 2026 to presentfactForm ADV
← WENDY Joan NICHOLSONAdvisorregistration: current employment
Jul 9, 2026 to presentfactForm ADV
← CLARENCE JAMES COLLINSAdvisorregistration: current employment
Jul 9, 2026 to presentfactForm ADV
← Jerry Lee SylvesterAdvisorregistration: current employment
Jul 8, 2026 to presentfactForm ADV
← Cole David BatchelorAdvisorregistration: current employment
Jul 7, 2026 to presentfactForm ADV
← Dane Carpenter SpencerAdvisorregistration: current employment
Jul 7, 2026 to presentfactForm ADV
← Brandon HollandAdvisorregistration: current employment
Jun 30, 2026 to presentfactForm ADV
← Joseph TiganiAdvisorregistration: current employment
Jun 23, 2026 to presentfactForm ADV
← Lacey Thompson-KrulAdvisorregistration: current employment
Jun 23, 2026 to presentfactForm ADV
← DEXTER IRVIN PIERCEAdvisorregistration: current employment
Jun 22, 2026 to presentfactForm ADV
← MISTY HEBERT DETIVEAUXAdvisorregistration: current employment
Jun 12, 2026 to presentfactForm ADV
and 49 more

Affiliated with (1)

→ OMEGA WEALTH PRIVATE CAPITAL LLCRegistered adviserother investment adviser
factForm ADV

Dated events

4 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Sep 11, 2026
Advisor changed firm
Thomas Joseph Ponce left Foundations Investment Advisors LLC for Krilogy (registered 2026-09-15)
Form ADVobserved 4 days ago
Occurred
Sep 11, 2026
Advisor changed firm
William Douglas Gerlach left Foundations Investment Advisors LLC for Trajan Wealth, L.L.C. (registered 2026-09-18)
Form ADVobserved yesterday
Occurred
Aug 13, 2026
Advisor changed firm
Andrew G Cavasino left Foundations Investment Advisors Llc for Virtue Capital Management, Llc (registered 2026-08-12)
Form ADVobserved 5 days ago
Occurred
Aug 13, 2026
Advisor changed firm
Steven Robert Larsen left Foundations Investment Advisors Llc for Horizon Ridge Advisors L.L.C. (registered 2026-05-08)
Form ADVobserved 5 days ago
Occurred
Aug 11, 2026
Advisor changed firm
Terek Wilson left Foundations Investment Advisors Llc for Cambridge Investment Research Advisors, Inc. (registered 2026-08-24)
Form ADVobserved 5 days ago
Occurred
Jul 1, 2026
Advisor changed firm
Lashae Maurice Mcmillan left Foundations Investment Advisors Llc for Signal Advisors Wealth, Llc (registered 2026-06-30)
Form ADVobserved 5 days ago
Occurred
Jul 1, 2026
Advisor changed firm
Joshua Domagoi Carapina left Foundations Investment Advisors Llc for Signal Advisors Wealth, Llc (registered 2026-07-02)
Form ADVobserved 5 days ago
Occurred
Jun 30, 2026
Advisor changed firm
Kermit Dale Mcgregor left Foundations Investment Advisors Llc for Signal Advisors Wealth, Llc (registered 2026-06-30)
Form ADVobserved 5 days ago
Occurred
Jun 29, 2026
Team lift-out
2 advisors left Oxford Wealth Group, LLC (Orlando, FL) for Foundations Investment Advisors LLC on the same day
Form ADVobserved 5 days ago
2 advisors
Occurred
Jun 26, 2026
Advisor changed firm
Cherish Ruby Grey left Foundations Investment Advisors Llc for Breiter Wealth Management, Llc (registered 2026-08-06)
Form ADVobserved 5 days ago
Occurred
Jun 25, 2026
Advisor changed firm
Joshua Eric Reesman left Foundations Investment Advisors Llc for Breiter Wealth Management, Llc (registered 2026-06-26)
Form ADVobserved 5 days ago
Occurred
Jun 18, 2026
Advisor changed firm
Gregory Lynn Lynch left Foundations Investment Advisors Llc for Ae Wealth Management, Llc (registered 2026-06-17)
Form ADVobserved 5 days ago
Occurred
Jun 18, 2026
Advisor changed firm
Robert Joseph Caldwell left Foundations Investment Advisors Llc for Mml Investors Services, Llc (registered 2026-07-23)
Form ADVobserved 5 days ago
Occurred
May 29, 2026
Advisor changed firm
Brent Allen Ward left Foundations Investment Advisors Llc for Award Financial Group (registered 2026-06-01)
Form ADVobserved 5 days ago
Occurred
May 19, 2026
Advisor changed firm
Richard Derek Brady left Foundations Investment Advisors Llc for Helios Financial Services, Llc (registered 2026-04-22)
Form ADVobserved 5 days ago
Occurred
May 6, 2026
Advisor changed firm
Cynthia Brooks Lee left Foundations Investment Advisors Llc for Wells Fargo Advisors (registered 2026-07-27)
Form ADVobserved 5 days ago
Occurred
Apr 20, 2026
Advisor changed firm
Michael P. Lacy left Foundations Investment Advisors Llc for J.P. Morgan Securities Llc (registered 2026-05-11)
Form ADVobserved 5 days ago
Occurred
Apr 17, 2026
Advisor changed firm
Jonathan Scott O'Reilly left Foundations Investment Advisors Llc for Limehouse Wealth Management Llc (registered 2026-01-29)
Form ADVobserved 5 days ago
Occurred
Apr 8, 2026
Advisor changed firm
Jeffrey Stephen Blocker left Foundations Investment Advisors Llc for Advisor Share Wealth Management, Llc (registered 2026-07-02)
Form ADVobserved 5 days ago
Occurred
Apr 7, 2026
Advisor changed firm
Janet Mohler Knight left Foundations Investment Advisors Llc for Creativeone Wealth, Llc (registered 2026-04-08)
Form ADVobserved 5 days ago
Occurred
Mar 30, 2026
Advisor changed firm
Haidy Wahid Eskander left Foundations Investment Advisors Llc for Wells Fargo Advisors (registered 2026-03-24)
Form ADVobserved 5 days ago
Occurred
Mar 30, 2026
Advisor changed firm
Luke A Luciano left Foundations Investment Advisors Llc for Truist Advisory Services, Inc. (registered 2026-04-09)
Form ADVobserved 5 days ago
Occurred
Mar 27, 2026
Regulatory AUM changed
Foundations Investment Advisors Llc reported RAUM $10.1B, up 41% from $7.2B (2025-12-18 to 2026-03-27)
Form ADVobserved 5 days ago
$2.9B
Occurred
Mar 27, 2026
Advisor headcount changed
Foundations Investment Advisors Llc reported 289 state-registered advisory representatives, up from 229 (2025-12-18 to 2026-03-27)
Form ADVobserved 5 days ago
60 IARS
Occurred
Mar 27, 2026
Advisor changed firm
Kyle John Soscia left Foundations Investment Advisors Llc for Lpl Financial Llc (registered 2026-04-20)
Form ADVobserved 5 days ago
Occurred
Mar 27, 2026
Advisor changed firm
Eduardo Caldera left Foundations Investment Advisors Llc for Retirement Systems Llc (registered 2026-03-23)
Form ADVobserved 5 days ago
Occurred
Mar 27, 2026
Advisor changed firm
Amos Madison left Foundations Investment Advisors Llc for J.P. Morgan Securities Llc (registered 2026-04-06)
Form ADVobserved 5 days ago
Occurred
Mar 4, 2026
Team lift-out
6 advisors left Foundations Investment Advisors LLC (Phoenix, AZ) for Rise North Capital Investment Advisors on the same day
Form ADVobserved 5 days ago
6 advisors
Occurred
Mar 4, 2026
Team lift-out
4 advisors left Foundations Investment Advisors LLC (Nashua, NH) for Rise North Capital Investment Advisors on the same day
Form ADVobserved 5 days ago
4 advisors
Occurred
Mar 4, 2026
Team lift-out
4 advisors left Foundations Investment Advisors LLC (Braintree, MA) for Rise North Capital Investment Advisors on the same day
Form ADVobserved 4 days ago
4 advisors
Occurred
Mar 4, 2026
Advisor changed firm
Killian Michael Dowd left Foundations Investment Advisors Llc for Rise North Capital Investment Advisors (registered 2025-12-09)
Form ADVobserved 5 days ago
Occurred
Mar 4, 2026
Advisor changed firm
Joanna Esther Martinez left Foundations Investment Advisors Llc for Rise North Capital Investment Advisors (registered 2025-12-09)
Form ADVobserved 5 days ago
Occurred
Mar 4, 2026
Advisor changed firm
Damien Anthony Autissier left Foundations Investment Advisors Llc for Money Concepts Advisory Service (registered 2026-05-12)
Form ADVobserved 5 days ago
Occurred
Mar 4, 2026
Advisor changed firm
Ryan Robert Pitard left Foundations Investment Advisors Llc for Rise North Capital Investment Advisors (registered 2025-12-09)
Form ADVobserved 5 days ago
Occurred
Mar 4, 2026
Advisor changed firm
Kyle Mortimer left Foundations Investment Advisors Llc for Rise North Capital Investment Advisors (registered 2025-12-09)
Form ADVobserved 5 days ago
Occurred
Mar 4, 2026
Advisor changed firm
Samuel Joshua Graff left Foundations Investment Advisors Llc for Rise North Capital Investment Advisors (registered 2025-12-09)
Form ADVobserved 5 days ago

Show 4 bookkeeping events

First seen by DFX
Sep 19, 2026
date not stated
Wendy Jane Fredricks no longer holds an investment adviser registration (last listed at Foundations Investment Advisors Llc on the 2026-09-18 feed)
First seen by DFX
Sep 19, 2026
date not stated
Nicholas A Fyntrilakis no longer holds an investment adviser registration (last listed at Foundations Investment Advisors Llc on the 2026-09-18 feed)
First seen by DFX
Sep 18, 2026
date not stated
Richard John Pelletier no longer holds an investment adviser registration (last listed at Foundations Investment Advisors Llc on the 2026-09-17 feed)
Occurred
Sep 16, 2026
Alfredo Atencio registered as an investment adviser representative at Foundations Investment Advisors Llc

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f81a9c81-b989-3dff-b913-46e14ca1d59b
First observed: Jun 30, 2015
Last observed: Sep 3, 2026 17 days 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.

FOUNDATIONS INVESTMENT ADVISORS LLC

CRD 175083

PHOENIX, AZ

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:f81a9c81-b989-3dff-b913-46e14ca1d59b

Data as of Sep 3, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 3:31 PM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

ERNEST ANTHONY BAILLARGEON

n/a

Scottsdale, AZ | PEORIA, AZ | Phoenix, AZ | PHOENIX, AZ

EDWARD FRIEDEL KINSEY

n/a

Farmington, UT | PHOENIX, AZ

BRADLEY PAUL MALIA

n/a

TAMPA, FL | PHOENIX, AZ | CARTERSVILLE, GA | KENNESAW, GA

n/a

RICHARD M ROETHEL

n/a

PHOENIX, AZ | Farmington, UT

n/a

RICHARD JOHN PELLETIER

n/a

West Springfield, MA | PHOENIX, AZ | PUNTA GORDA, FL

n/a

Lance Gilman

n/a

STAMFORD, CT | PHOENIX, AZ | HALLOWELL, ME

n/a

PETER Thomas HANSON

n/a

Saco, ME | PHOENIX, AZ

n/a

Christopher A Shelton

n/a

Ellsworth, ME | Portland, ME | PHOENIX, AZ | BLUE HILL, ME

n/a

Jeffrey Michael Truchon

n/a

PHOENIX, AZ | Augusta, ME | Bangor, ME

n/a

Marc Montini

n/a

PHOENIX, AZ | Phoenix, AZ

n/a

Susan Marguerite McBournie

n/a

PHOENIX, AZ | MOULTONBOROUGH, NH

MATTHEW JOHN DUNN

n/a

PHOENIX, AZ | WORCESTER, MA

MARTIN JACOB DOLPH

n/a

PHOENIX, AZ | WOODRIDGE, IL

n/a

FRANCIS JOSEPH HEBERT

n/a

ELDERSBURG, MD | PHOENIX, AZ | Odenton, MD

KEVIN EARL SKALTSIS

Certified Financial Planner

PHOENIX, AZ | EAST GREENWICH, RI

MARCIA LYNN BERNSTEIN

n/a

PHOENIX, AZ | AVON, CT

Jeremy P Barnard

n/a

LISBON FALLS, ME | PHOENIX, AZ

n/a

Jimmy Wayne Hagy

n/a

Chattanooga, TN | ATLANTA, GA | PHOENIX, AZ

n/a

CRAIG STEPHEN HEBERT

n/a

PHOENIX, AZ | ELDERSBURG, MD

n/a

Daniel Richard Murphy

n/a

PHOENIX, AZ | PEORIA, AZ

Stewart A Willis

n/a

DARREN LAMARE LUNDY

n/a

Westerville, OH | PHOENIX, AZ

MICHELINE A DAGHER

n/a

BURLINGTON, MA | WALPOLE, MA | PHOENIX, AZ | PROVIDENCE, RI

JUNE MARIE BRAITHWAITE

n/a

PHOENIX, AZ | LAKEWOOD RANCH, FL

n/a

RYAN ALLEN BREEDWELL

n/a

PHOENIX, AZ | ROSEVILLE, CA

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

COOKSEY, JOSHUA, RYAN

Coo

yes

09/2025

Sep 3, 2026

Florence, Jarrod, Dale

President

yes

02/2022

Sep 3, 2026

THE BRYON AND KIRSTEN RICE

Owner

yes

03/2015

Sep 3, 2026

RICE, BRYON

OWNER / CEO

yes

03/2015

Jun 30, 2015

Nov 23, 2024

MANN, KYLE, MICHAEL

CHIEF FINANCIAL OFFICER

12/2018

Sep 3, 2026

PUGSLEY, MARC, JAMES

CHIEF COMPLIANCE OFFICER

11/2024

Sep 3, 2026

REITAN, EMILY, SUZANNE

Coo

08/2024

Oct 1, 2024

Nov 23, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

OMEGA WEALTH PRIVATE CAPITAL LLC

n/a

State registered

$102M

n/a

ALPHA 1 TAX AND WEALTH MANAGEMENT, LLC

n/a

yes

n/a

ASSET PRESERVATION TAX & RETIREMENT, LLC

n/a

yes

n/a

CHARTER LAW GROUP, LLC

n/a

yes

n/a

MAGELLAN FINANCIAL & INSURANCES SERVICES INC.

n/a

yes

n/a

MAGELLAN HEALTHCARE, LLC

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

Denver

United States

WEST SPRINGFIELD

United States

Wichita

United States

Auburn

United States

FARMINGTON HILLS

United States

Minnetonka

United States

Grapevine

United States

Walpole

United States

BINGHAM FARMS

United States

Zelienople

United States

Chattanooga

United States

Phoenix

United States

Surprise

United States

Sacramento

United States

GRAND JUNCTION

United States

WEST HARTFORD

United States

Tampa

United States

Topeka

United States

Augusta

United States

Chataanooga

United States

Franklin

United States

Austin

United States

LEAGUE CITY

United States

Farmington

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 27, 2026

$10B

353

289

n/a

2024

Apr 29, 2025

$7.2B

$7.1B

284

229

n/a

2023

Mar 29, 2024

$5.4B

240

187

n/a

2022

Mar 31, 2023

$3.8B

$3.7B

229

182

n/a

2021

Mar 31, 2022

$3.2B

$3.1B

237

188

n/a

2020

Mar 29, 2021

$1.9B

$1.8B

163

138

n/a

2019

Mar 30, 2020

$1.2B

$1.1B

134

116

n/a

2018

Feb 6, 2019

$552M

$533M

n/a

2017

Apr 2, 2018

$404M

$397M

n/a

2016

Mar 1, 2017

$100M

$95.7M

n/a

2015

Mar 28, 2016

$15.0M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

19.8%

179

116

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$10B

$7.2B

40.5%

$3.8B

39.0%

353

284

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

RISE NORTH CAPITAL INVESTMENT ADVISORS

Mar 4, 2026

May 7, 2026

PHOENIX, AZ

Team lift out

RIA to new firm

1.0%

RISE NORTH CAPITAL INVESTMENT ADVISORS

Mar 4, 2026

Dec 9, 2025

BRAINTREE, MA

Team lift out

RIA to new firm

1.4%

RISE NORTH CAPITAL INVESTMENT ADVISORS

Mar 4, 2026

Dec 9, 2025

NASHUA, NH

Team lift out

RIA to new firm

1.4%

MARKET INVESTMENT GROUP, LLC

Sep 30, 2025

Jun 4, 2025

PHOENIX, AZ

Team lift out

RIA to RIA

0.8%

ADVISORNET WEALTH PARTNERS

Mar 3, 2025

Feb 23, 2026

MINNETONKA, MN

Team lift out

RIA to RIA

1.4%

RWM CAPITAL, LLC

Oct 30, 2024

Oct 4, 2023

MOBILE, AL

Team lift out

RIA to RIA

1.0%

RWM CAPITAL, LLC

Oct 30, 2024

Oct 6, 2023

PENSACOLA, FL

Team lift out

RIA to RIA

1.0%

SIMPLICITY WEALTH

Aug 15, 2024

Jan 2, 2025

WINDHAM, NH

Team lift out

Other

1.1%

SL CAPITAL

Mar 1, 2024

Dec 6, 2023

PHOENIX, AZ

Team lift out

RIA to new firm

1.9%

AE WEALTH MANAGEMENT, LLC

Mar 15, 2023

Mar 16, 2023

PHOENIX, AZ

Team lift out

RIA to ibd

1.3%

J.M. ARBOUR, LLC

Aug 2, 2022

Jun 24, 2022

PHOENIX, AZ

Team lift out

RIA to new firm

2.1%

FIAT WEALTH MANAGEMENT

Jun 3, 2022

Feb 22, 2022

PHOENIX, AZ

Team lift out

RIA to new firm

1.3%

FIAT WEALTH MANAGEMENT

Jun 3, 2022

Aug 9, 2022

WAYZATA, MN

Team lift out

RIA to new firm

4.0%

HARBOUR INVESTMENTS, INC.

Mar 21, 2016

Mar 30, 2016

PHOENIX, AZ

Team lift out

Other

12.5%

ADVISORY SERVICES NETWORK

Mar 11, 2016

Mar 23, 2016

PHOENIX, AZ

Team lift out

Other

15.8%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

OXFORD WEALTH GROUP, LLC

Jun 29, 2026

Jul 8, 2026

ORLANDO, FL

Team lift out

RIA to RIA

22.2%

AE WEALTH MANAGEMENT, LLC

Dec 17, 2025

Jan 15, 2026

SANDY, UT

Team lift out

Ibd to RIA

0.7%

RETIREMENT FINANCIAL GROUP, LLC

Nov 3, 2025

Nov 4, 2025

THE WOODLANDS, TX

Team lift out

RIA to RIA

33.3%

PROSPERITY CAPITAL ADVISORS

Oct 1, 2025

Sep 22, 2025

MELBOURNE, FL

Team lift out

RIA to RIA

1.8%

PROSPERITY CAPITAL ADVISORS

Oct 1, 2025

Sep 23, 2025

ST LOUIS, MO

Team lift out

RIA to RIA

2.8%

PROSPERITY CAPITAL ADVISORS

Oct 1, 2025

Sep 23, 2025

WESTLAKE, OH

Team lift out

RIA to RIA

6.4%

SOUND INCOME STRATEGIES, LLC

Aug 29, 2025

Sep 11, 2025

NORMAN, OK

Team lift out

RIA to RIA

1.8%

CREATIVEONE WEALTH, LLC

Jun 17, 2025

Jun 23, 2025

BRISTOL, RI

Team lift out

RIA to RIA

1.0%

SOUND INCOME STRATEGIES, LLC

May 15, 2025

Jun 4, 2025

WARETOWN, NJ

Team lift out

RIA to RIA

2.0%

AE WEALTH MANAGEMENT, LLC

May 7, 2025

May 13, 2025

FORT WORTH, TX

Team lift out

Ibd to RIA

0.5%

TEXAS FINANCIAL ADVISORY

Dec 22, 2024

Jan 14, 2025

SAN ANTONIO, TX

Firm absorbed

RIA to RIA

100.0%

MADISON AVENUE SECURITIES, LLC

Jul 1, 2024

Jul 2, 2024

INDIANAPOLIS, IN

Team lift out

Ibd to RIA

2.5%

AE WEALTH MANAGEMENT, LLC

Aug 16, 2023

Aug 17, 2023

FRIENDSWOOD, TX

Team lift out

Ibd to RIA

0.5%

AE WEALTH MANAGEMENT, LLC

Jun 21, 2023

Jul 6, 2023

LEAGUE CITY, TX

Team lift out

Ibd to RIA

0.8%

AE WEALTH MANAGEMENT, LLC

May 16, 2023

May 30, 2023

GRAPEVINE, TX

Team lift out

Ibd to RIA

0.8%

AEGIS WEALTH MANAGEMENT, INC.

Mar 6, 2023

Mar 9, 2023

GUTHRIE CENTER, IA

Team lift out

RIA to RIA

10.0%

ALPHASTAR CAPITAL MANAGEMENT

May 4, 2022

Jul 21, 2022

WEST HARTFORD, CT

Team lift out

RIA to RIA

2.1%

FIRST FINANCIAL EQUITY CORPORATION

Apr 22, 2022

May 11, 2022

SCOTTSDALE, AZ

Team lift out

Ibd to RIA

15.4%

SIMPLICITY WEALTH

Apr 12, 2021

May 19, 2021

LAFAYETTE, LA

Team lift out

RIA to RIA

6.5%

ADVISORNET WEALTH PARTNERS

Dec 7, 2020

Dec 15, 2020

MINNEAPOLIS, MN

Team lift out

RIA to RIA

1.9%