DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Registered advisor

Emily Diane Arnold

Foundations Investment Advisors LLCindependent RIADenver, Co IA-onlyIAPD 5649098

Feed of 09/15/2026

Also filed as Emily Arnold Dominguez

At current firm

1 y

since Oct 10, 2024

In the industry

17 y

since Apr 28, 2009 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Foundations Investment Advisors LLC independent RIA current
since Oct 10, 2024 · Denver, Co
Ae Wealth Management, LLC BD affiliated
Jan 29, 2024 to Aug 2, 2024 · Topeka, Ks
Buck Wealth Strategies, LLC independent RIA
Sep 26, 2022 to Sep 16, 2024 · Denver, Co
United Planners' Financial Services Of America A Limited Partner independent RIA
Jun 2, 2020 to Oct 5, 2022 · Scottsdale, Az
MML Investors Services, LLC BD affiliated
Feb 12, 2013 to Jun 4, 2020 · Denver, Co
Waddell & Reed former
Apr 29, 2009 to Feb 4, 2013 · Las Vegas, Nv

Moves

a registration end followed by a registration begin elsewhere

Buck Wealth Strategies, LLC to Ae Wealth Management, LLC
left Sep 16, 2024, registered Jan 29, 2024 (-231 days) · RIA to affiliated broker-dealer or bank
Ae Wealth Management, LLC to Foundations Investment Advisors LLC
left Aug 2, 2024, registered Oct 10, 2024 (69 days) · RIA to RIA
United Planners' Financial Services Of America A Limited Partner to Buck Wealth Strategies, LLC
left Oct 5, 2022, registered Sep 26, 2022 (-9 days) · RIA to a newly registered adviser
MML Investors Services, LLC to United Planners' Financial Services Of America A Limited Partner
left Jun 4, 2020, registered Jun 2, 2020 (-2 days) · Affiliated broker-dealer or bank to independent RIA
Waddell & Reed to MML Investors Services, LLC
left Feb 4, 2013, registered Feb 12, 2013 (8 days) · Other

Signals

Emily Diane Arnold left Buck Wealth Strategies, Llc for Ae Wealth Management, Llc (registered 2024-01-29)
Sep 16, 2024 · Advisor changed firm · fact
Emily Diane Arnold left Ae Wealth Management, Llc for Foundations Investment Advisors Llc (registered 2024-10-10)
Aug 2, 2024 · Advisor changed firm · fact
Emily Diane Arnold left United Planners' Financial Services Of America A Limited Partner for Buck Wealth Strategies, Llc (registered 2022-09-26)
Oct 5, 2022 · Advisor changed firm · fact

Transition signals

Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.

Provenance

Source: IAPD individual compilation feedreportedadviserinfo.sec.gov
Firm class: Independent wealth managerderived
Years in industry: 17derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address