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.
SEC-registered adviser
Foundation Wealth Management, LLC
Latest filing Apr 20, 2026
First filing on the tape Mar 20, 2012 · 31 filings
SEC status approved since Jul 10, 2003
RAUM
$661M
reported, Item 5.F
Discretionary
88%
of RAUM
Private clients
89%
$587M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$165M
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
31 filings and snapshots on the tape
RAUM$661M as of Apr 20, 2026
Mar 20, 2012$150M then
HNW client RAUM$546M as of Apr 20, 2026
Mar 29, 2018$241M then
State-registered IARs (5.B.3)4 as of Apr 20, 2026
Mar 20, 20120 then
Employees (5.A)6 as of Apr 20, 2026
Mar 25, 20134 then
Private funds: no history
RAUM +11% over the last fiscal year+11% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Apr 20, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $165MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 88derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.8MderivedHNW RAUM over HNW clients
- Average account
- $371,569derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 88%derivedof RAUM
- Institutional
- 11%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.8%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
- Custody
- $36.2M, 10 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$546M83%
- State and municipal entities$68.8M10%
- Individuals$41.5M6.3%
- Pension and profit-sharing plans$4.9M0.7%
- Individual clients
- 157reported
- HNW clients
- 194reported
- Pension plan clients
- 3reported
- Charitable clients
- n/areported
- Accounts
- 1,778reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $36.2M for 10 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.89 fund_share=0.0 institutional_share=0.11 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Pamela Ann HardinCertified Financial Planner | Clayton, Mo | Dec 9, 2004 | 38 y | 1 |
| Daniel Joseph LaddCertified Financial Planner | Clayton, Mo | Feb 2, 2016 | 13 y | 0 |
| Hannah Rae LeoneCertified Financial Planner | Clayton, Mo | Sep 14, 2016 | 15 y | 0 |
| Patrick Russell MclaughlinCertified Financial Planner | Clayton, Mo | Aug 26, 2024 | 12 y | 2 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- Craig Allen Toberman to Archford Capital Strategies, LLCJun 9, 2016 · Other
Joined, latest
- Patrick Russell Mclaughlin from Raymond James & Associates, Inc.Aug 26, 2024 · Affiliated broker-dealer or bank to independent RIA
- Pamela Ann Hardin from Moneta Group Investment Advisors, LLCDec 9, 2004 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Ann Pamela Hardin · Ownercontrolsince 05/2003 · owns 75% or more
- Joseph Daniel Ladd · Chief Investment Officercontrolsince 01/2021 · owns less than 5%
- Rae Hannah Leone · Chief Operating Officercontrolsince 01/2021 · owns less than 5%
- Stephen Matthew Hardin · Chief Compliance Officersince 01/2007 · owns less than 5%
Related persons
Schedule D 7.A
- Matthew S. Hardinn
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Clayton, Mo · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,726 to 1,778Mar 28, 2025 to Mar 31, 2026
- HNW clients · 154 to 194Mar 28, 2025 to Mar 31, 2026
- Individual clients · 181 to 157Mar 28, 2025 to Mar 31, 2026
- Pension plan clients · 5 to 3Mar 28, 2025 to Mar 31, 2026
- Assets in custody · $26.6M to $36.2MMar 28, 2025 to Mar 31, 2026
- Discretionary RAUM · $519M to $579MMar 28, 2025 to Mar 31, 2026
- HNW RAUM · $472M to $546MMar 28, 2025 to Mar 31, 2026
- Individual RAUM · $58.2M to $41.5MMar 28, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $74.2M to $81.5MMar 28, 2025 to Mar 31, 2026
- Pension RAUM · $6.8M to $4.9MMar 28, 2025 to Mar 31, 2026
- RAUM · $593M to $661MMar 28, 2025 to Mar 31, 2026
- Accounts · 1,635 to 1,726Jul 2, 2024 to Mar 28, 2025
- Advisory employees · 3 to 4Jul 2, 2024 to Mar 28, 2025
- HNW clients · 149 to 154Jul 2, 2024 to Mar 28, 2025
- Individual clients · 168 to 181Jul 2, 2024 to Mar 28, 2025
- Pension plan clients · 4 to 5Jul 2, 2024 to Mar 28, 2025
- Assets in custody · $21.2M to $26.6MJul 2, 2024 to Mar 28, 2025
- Employees · 5 to 6Jul 2, 2024 to Mar 28, 2025
- Financial planning clients · 251-500 to 251-500Jul 2, 2024 to Mar 28, 2025
- State-registered IARs · 3 to 4Jul 2, 2024 to Mar 28, 2025
- Discretionary RAUM · $460M to $519MJul 2, 2024 to Mar 28, 2025
- HNW RAUM · $428M to $472MJul 2, 2024 to Mar 28, 2025
- Individual RAUM · $42.9M to $58.2MJul 2, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $65.5M to $74.2MJul 2, 2024 to Mar 28, 2025
- Pension RAUM · $5.3M to $6.8MJul 2, 2024 to Mar 28, 2025
- RAUM · $525M to $593MJul 2, 2024 to Mar 28, 2025
- Accounts · 1,536 to 1,635Mar 22, 2023 to Mar 21, 2024
- HNW clients · 127 to 149Mar 22, 2023 to Mar 21, 2024
- Individual clients · 176 to 168Mar 22, 2023 to Mar 21, 2024
- Pension plan clients · 5 to 4Mar 22, 2023 to Mar 21, 2024
- Assets in custody · $60.6M to $21.2MMar 22, 2023 to Mar 21, 2024
- Employees · 6 to 5Mar 22, 2023 to Mar 21, 2024
- Discretionary RAUM · $418M to $460MMar 22, 2023 to Mar 21, 2024
- HNW RAUM · $389M to $428MMar 22, 2023 to Mar 21, 2024
- Individual RAUM · $46.3M to $42.9MMar 22, 2023 to Mar 21, 2024
- Non-discretionary RAUM · $60.2M to $65.5MMar 22, 2023 to Mar 21, 2024
- Pension RAUM · $5.4M to $5.3MMar 22, 2023 to Mar 21, 2024
- RAUM · $478M to $525MMar 22, 2023 to Mar 21, 2024
- Accounts · 1,389 to 1,536May 19, 2022 to Mar 22, 2023
- HNW clients · 106 to 127May 19, 2022 to Mar 22, 2023
Signals
2 dated events
- Rae Hannah Leone (Chief Operating Officer) appeared on Schedule A of Foundation Wealth Management, LlcMar 29, 2021 · Control person joined · fact
- Joseph Daniel Ladd (Chief Investment Officer) appeared on Schedule A of Foundation Wealth Management, LlcMar 29, 2021 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
- Foundation Wealth Management, LLC · Family Officesshared cik · foundation
How to reach
public business contact points only, each with its source
- Business phone
- 314-726-6785reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 314-726-6789reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/foundation-wealth-managementreportedpublic record, Form ADV, Sep 17, 2026
- Website
- FWMRIA.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 314-726-6789reportedpublic record, Form ADV, Apr 20, 2026
- Contact form
- FWMRIA.COM/contact-usreportedpublished by the firm, firm site, Sep 16, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $165Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026