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RIA / WealthAdvisor24 years in industry

SIMON JOHN ROGERS

Advisor at FOUNDATIONS INVESTMENT ADVISORS LLC

Sedona, AZ | PHOENIX, AZ | HARRISBURG, PA

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Search this name across graphsid dfx:ria:f98d9c55-5167-5726-5142-caccb5a9da0c

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:05 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jan 23, 2009 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: Mar 7, 2002earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S63|S65
First exam: Mar 7, 2002
First registration: Jan 23, 2009
Dual registered: no
IAPD individual key: 4502929

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	Jan 20, 2021	n/a	yes	Sedona, AZ\|PHOENIX, AZ\|HARRISBURG, PA	Current employment
AE WEALTH MANAGEMENT, LLC	Bd affiliated wealth	Jul 17, 2017	Jan 19, 2021	no	Harrisburg, PA\|HARRISBURG, PA	Previous registration
ALPHASTAR CAPITAL MANAGEMENT	Independent wealth	Jul 30, 2013	Jul 19, 2017	no	HARRISBURG, PA\|CORNELIUS, NC	Previous registration
ALPHA PLANNING AND FINANCIAL SERVICES, INC.	Independent wealth	Jan 23, 2009	Nov 15, 2013	no	HARRISBURG, PA	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
AE WEALTH MANAGEMENT, LLC	FOUNDATIONS INVESTMENT ADVISORS LLC	Jan 19, 2021	Jan 20, 2021	1	Firm change	RIA to RIA
ALPHASTAR CAPITAL MANAGEMENT	AE WEALTH MANAGEMENT, LLC	Jul 19, 2017	Jul 17, 2017	-2	Firm change	Other
ALPHA PLANNING AND FINANCIAL SERVICES, INC.	ALPHASTAR CAPITAL MANAGEMENT	Nov 15, 2013	Jul 30, 2013	-108	Firm change after gap	Other

Relationships

Registered with (4)

→ FOUNDATIONS INVESTMENT ADVISORS LLCRegistered adviserregistration: current employment
Jan 20, 2021 to presentfactForm ADV
→ AE WEALTH MANAGEMENT, LLCRegistered adviserregistration: previous registration
Jul 17, 2017 to Jan 19, 2021factForm ADV
→ ALPHASTAR CAPITAL MANAGEMENTRegistered adviserregistration: previous registration
Jul 30, 2013 to Jul 19, 2017factForm ADV
→ ALPHA PLANNING AND FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Jan 23, 2009 to Nov 15, 2013factForm ADV

Dated events

No dated event names this entity yet.