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
Founders Financial Securities, LLC
Latest filing Apr 20, 2026
First filing on the tape Mar 22, 2012 · 90 filings
SEC status approved since Jul 13, 2006
RAUM
$4.1B
reported, Item 5.F
Discretionary
88%
of RAUM
Private clients
89%
$3.7B individuals and HNW
Advisors
117
registered through the firm on IAPD
RAUM per advisor
$35.3M
derived; firm RAUM over IAPD count
Employees
139
101 advisory (5.B.1)
Offices
68
beyond the principal office
Private funds
0
reported on Schedule D
History
90 filings and snapshots on the tape
RAUM$4.1B as of Apr 20, 2026
Mar 22, 2012$316M then
HNW client RAUM$2.1B as of Apr 20, 2026
Mar 29, 2018$83.5M then
State-registered IARs (5.B.3)115 as of Apr 20, 2026
Mar 27, 201366 then
Employees (5.A)139 as of Apr 20, 2026
Mar 27, 201370 then
Private funds: no history
RAUM +25% over the last fiscal year+22% a year over threeIARs 91 to 115offices 62 to 68
Practice profile
derived from the filing of Apr 20, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Multi-office growth platform · an independent wealth manager (not a wirehouse, national broker-dealer RIA or broker-dealer affiliated firm) with at least five offices, at least 50 advisors, and RAUM up at least 20 percent over the last annual amendment
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $35.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 82derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.5MderivedHNW RAUM over HNW clients
- Average account
- $216,703derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 88%derivedof RAUM
- Institutional
- 10%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 1.7derived69 offices incl. principal (1.F.5)
- RAUM growth, one year
- +25%derivedbetween the last two annual amendments
- Advisor growth, one year
- +26%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +9.4%derived
- Compensation
- percentage of assets, hourly, fixed fees, subscriptionreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $1.5M, 13 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
- is a broker-dealer (6.A.1)
- is an insurance broker or agent (6.A.6)
- 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)
- 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$2.1B51%
- Individuals$1.6B38%
- Pension and profit-sharing plans$414M10%
- Charitable organizations$16.1M0.4%
- Corporations and businesses$8.7M0.2%
- Individual clients
- 8,124reported
- HNW clients
- 1,466reported
- Pension plan clients
- 241reported
- Charitable clients
- 22reported
- Accounts
- 19,082reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.5M for 13 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.89 fund_share=0.0 institutional_share=0.1 related_bd=false related_bank=false bd_reps=118.0derived
Advisors registered through the firm
118 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Michael Owens BrooksChartered Financial Consultant | Ramrod Key, Fl | Jul 18, 2006 | 30 y | 1 |
| John Codd DonohueCertified Financial Planner | Bel Air, Md | Jul 19, 2006 | 20 y | 0 |
| Brian James Schlosser | Milford, Oh | Aug 11, 2006 | 31 y | 2 |
| Gregory Benton Hart | Bel Air, Md | Aug 17, 2006 | 33 y | 1 |
| Michael James ThomsonChartered Financial Consultant | Bel Air, Md | Aug 17, 2006 | 32 y | 1 |
| Mark John DarrellCertified Financial Planner | Finksburg, Md | Aug 24, 2006 | 37 y | 1 |
| Adam Howard Miller | Sarasota, Fl | Sep 7, 2006 | 35 y | 2 |
| Jordan Scott WeinbergCertified Financial Planner | Timonium, Md | Sep 7, 2006 | 25 y | 2 |
| Christopher Lynch ImbachChartered Financial Consultant | Baltimore, Md | Nov 2, 2006 | 34 y | 1 |
| Thomas Edward GerhartCertified Financial Planner | Lebanon, Pa | Feb 21, 2007 | 26 y | 0 |
| William David KesslerChartered Financial Consultant | Athol, Ma | May 16, 2007 | 38 y | 0 |
| John Milton ZinaichCertified Financial Planner, Chartered Financial Consultant | Boonsboro, Md | Feb 20, 2008 | 26 y | 2 |
| Linda Ann Derickson | Berlin, Md | Sep 12, 2008 | 33 y | 0 |
| Steven Anthony Aquino | Westminster, Md | May 29, 2009 | 28 y | 1 |
| Luis E Padilla | Sparks, Md | Sep 14, 2009 | 23 y | 1 |
| Jeffery Ralph GosenChartered Financial Consultant | Saginaw, Mi | Apr 16, 2010 | 37 y | 0 |
| Joseph Alexander KnightCertified Financial Planner | Towson, Md | May 11, 2010 | 17 y | 0 |
| Bernard Michael BowhuisCertified Financial Planner, Chartered Financial Consultant | Jenison, Mi | Sep 1, 2010 | 42 y | 1 |
| Thomas Matthew ArcherCertified Financial Planner, Chartered Financial Consultant | Brighton, Mi | Oct 12, 2010 | 30 y | 0 |
| Peter James Potestato | Chesterfield, Mi | Nov 16, 2010 | 34 y | 0 |
| Ryan Michael SchachtChartered Financial Consultant | Brighton, Mi | Feb 9, 2011 | 20 y | 0 |
| Anne Mccormick KarlowCertified Financial Planner | Berkley, Mi | Apr 29, 2011 | 29 y | 2 |
| Robert A GentnerCertified Financial Planner | Lansing, Mi | Apr 29, 2011 | 19 y | 1 |
| Ronald Paul Hammons | Port Deposit, Md | May 17, 2011 | 19 y | 1 |
| Eric Joseph Dallavalle | Frederick, Md | Jan 17, 2012 | 26 y | 1 |
| John Francis DallavalleChartered Financial Consultant | Frederick, Md | Jan 17, 2012 | 33 y | 2 |
| Thomas Albert LampertCertified Financial Planner, Chartered Financial Consultant | Brighton, Mi | May 3, 2012 | 35 y | 1 |
| Peter Joseph MurphyChartered Financial Analyst | Towson, Md | Oct 10, 2012 | 14 y | 0 |
| Cindy Sprinkle Everly | Williamsport, Md | Nov 19, 2012 | 21 y | 1 |
| Paul Andrew FurtonCertified Financial Planner | Severna Park, Md | Jul 19, 2013 | 39 y | 3 |
| Mark Andrew Timmick | Ellicott City, Md | Aug 13, 2013 | 21 y | 1 |
| Robert Clement BarryChartered Financial Consultant | East Falmouth, Ma | Oct 7, 2013 | 44 y | 1 |
| Charles Edward RobertsCertified Financial Planner | Salem, Nh | Nov 26, 2013 | 24 y | 3 |
| Nora Lynn Beauchot | Columbia City, In | Feb 11, 2014 | 13 y | 0 |
| Jordan Ray TaylorCertified Financial Planner | Towson, Md | Mar 28, 2014 | 16 y | 0 |
| Manuel Medeiros Goulart | San Ramon, Ca | Apr 7, 2014 | 30 y | 2 |
| Andrew Robert Lambertson | Modesto, Ca | Apr 7, 2014 | 19 y | 2 |
| Chad Michael BowhuisCertified Financial Planner | Jenison, Mi | Aug 18, 2014 | 14 y | 0 |
| David Frank Rea | Brighton, Mi | Nov 5, 2014 | 41 y | 0 |
| Jay Edward Estabrook | Lutherville-Timonium, Md | Jan 6, 2015 | 35 y | 1 |
Advisor movement
2 left, 6 joined in 12 months
net +4 in 12 months1 left in 90 days3 joined in 90 daysdeparture rate 1.7% of current headcount8 left over 36 months
Left, latest
- Heather M Aeschliman to Creative PlanningAug 28, 2026 · RIA to RIA
- David S. Long to LPL Financial LLCApr 14, 2026 · RIA to affiliated broker-dealer or bank
- Raffaele Nicholas Mazzone to Legacy Financial AdvisorsMay 23, 2025 · RIA to a state-registered adviser
- Jeffrey Glenn Grad to Grad Wealth Management PllcDec 3, 2024 · RIA to a state-registered adviser
- Ty Eric Boggs to Resolute Retirement ConsultingOct 4, 2024 · RIA to a state-registered adviser
- Carol Marie Miskovich to LPL Financial LLCSep 23, 2024 · RIA to affiliated broker-dealer or bank
- Jason Conrad Huntley to LPL Financial LLCJul 31, 2024 · RIA to affiliated broker-dealer or bank
- Laura Carrera Warnock to Lone Peak AdvisersMay 2, 2024 · RIA to RIA
- Daniel Joshua Swain to Raymond James Financial Services Advisors, IncAug 2, 2023 · RIA to affiliated broker-dealer or bank
- Bradley Carl Jerome to Osaic Wealth, Inc.Aug 19, 2022 · RIA to affiliated broker-dealer or bank
- Glenn Robert Matecun to Exodus Wealth, LLCAug 19, 2022 · RIA to RIA
- Shane Heddy to Osaic Wealth, Inc.Aug 19, 2022 · RIA to affiliated broker-dealer or bank
- Kelley Anne Lebica to Cambridge Investment Research Advisors, Inc.Mar 30, 2022 · RIA to affiliated broker-dealer or bank
- Roger Joel Conde to Cambridge Investment Research Advisors, Inc.Mar 30, 2022 · RIA to affiliated broker-dealer or bank
- Gale Ann Brodie to Vanderbilt Advisory ServicesJul 28, 2021 · RIA to affiliated broker-dealer or bank
Joined, latest
- Alyssa Marie Molan from MarinerSep 16, 2026 · Affiliated broker-dealer or bank to independent RIA
- Brenda Simson from Transamerica Financial Advisors, LLCJun 26, 2026 · Affiliated broker-dealer or bank to independent RIA
- Eric Krausz Adler from MarinerJun 24, 2026 · Affiliated broker-dealer or bank to independent RIA
- April Spittle Blake from Interactive Financial AdvisorsApr 20, 2026 · RIA to RIA
- James A Frangenberg from Wells Fargo AdvisorsOct 27, 2025 · Wirehouse to independent RIA
- Joanne Marie Woiteshek from Gwn Securities Inc.Oct 24, 2025 · Other
- Scott Douglas Reid from Pks Advisory Services, LLCSep 5, 2025 · RIA to RIA
- Lisa Carol Reid from Pks Advisory Services, LLCSep 5, 2025 · RIA to RIA
- Neal Edward Stanfield from Hornor, Townsend & Kent, LLCSep 4, 2025 · RIA to RIA
- Emily Elizabeth Parent from Interactive Financial AdvisorsAug 15, 2025 · RIA to RIA
- Craig Curtis Alden from Interactive Financial AdvisorsAug 15, 2025 · RIA to RIA
- Margaret Rehmer Swiess from SpcAug 12, 2025 · Affiliated broker-dealer or bank to independent RIA
- Charles Joseph Reichelt from John Hancock Personal Financial Services, LLCFeb 3, 2025 · Affiliated broker-dealer or bank to independent RIA
- Michelle Siano from Ellis Investment Partners, LLCNov 1, 2024 · RIA to RIA
- David S. Long from Securities America Advisors, Inc.Nov 1, 2023 · Affiliated broker-dealer or bank to independent RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for Cambridge Investment Research Advisors, Inc.Mar 30, 2022 · El Segundo, Ca
- 2 joined from Pks Advisory Services, LLCOct 2, 2025 · Memphis, Tn
- 2 joined from Interactive Financial AdvisorsSep 10, 2025 · Winchester, Va
- 2 joined from Securities America Advisors, Inc.Aug 1, 2023 · Charlton, Ma
- 2 joined from Next Financial Group, Inc.Sep 7, 2022 · Downingtown, Pa
- 2 joined from Securian Financial Services, Inc.Jun 9, 2021 · Okemos, Mi
- 2 joined from LPL Financial LLCOct 28, 2015 · Matthews, Nc
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Joseph Victor Krcma · Chief Compliance Officercontrolsince 06/2014 · owns less than 5%
- Bradley Matthew Shepherd · Ceo/Rosfpcontrolsince 06/2014 · owns less than 5%
- Jill Anne Reckamp · Finopsince 03/2015 · owns less than 5%
- Michael Owens Brooks · Membersince 12/2022 · owns 75% or more of Founders Financial Holding Inc.
Entity owners
- Founders Financial LLC · Memberdirect · owns 75% or more
- Founders Financial Holdings Inc. · Member Firmindirect · owns 75% or more of Founders Financial LLC
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Towson, Md · principal | 17 | 3 | 0 | ||
| Frederick, Md | 5 | 2 | 0 | ||
| Brighton, Mi | 5 | 0 | 1 | ||
| Timonium, Md | 5 | 0 | 0 | ||
| Lansing, Mi | 4 | 0 | 0 | ||
| Oregon City, Or | 4 | 1 | 0 | ||
| Bel Air, Md | 4 | 0 | 0 | ||
| Athol, Ma | 3 | 0 | 0 | ||
| Columbia, Md | 3 | 0 | 0 | ||
| Fresno, Ca | 3 | 1 | 0 | ||
| Martinsburg, Wv | 3 | 0 | 0 | ||
| West Chester, Pa | 3 | 0 | 0 | ||
| Finksburg, Md | 2 | 0 | 0 | ||
| Dayton, Oh | 2 | 0 | 0 | ||
| Jenison, Mi | 2 | 0 | 0 | ||
| Baltimore, Md | 2 | 0 | 0 | ||
| Matthews, Nc | 2 | 0 | 0 | ||
| Memphis, Tn | 2 | 0 | 0 | ||
| Milford, Oh | 2 | 0 | 0 | ||
| Charlton, Ma | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Towson, MD4 employees
- Bel Air, MD4 employees
- Fresno, CA3 employees
- Martinsburg, WV3 employees
- Brighton, MI3 employees
- Frederick, MD3 employees
- Centerville, OH2 employees
- Finksburg, MD2 employees
- Martinsburg, WV2 employees
- Lutherville-Timonium, MD2 employees
- Boonsboro, MD2 employees
- Chadds Ford, PA2 employees
- Columbia, MD2 employees
- Oregon City, OR2 employees
- Timonium, MD2 employees
- Brighton, MI2 employees
- , 1 employees
- Milford, OH1 employees
- Anderson, IN1 employees
- Brookfield, CT1 employees
- Timonium, MD1 employees
- Lebanon, PA1 employees
- Lansing, MI1 employees
- Salem, NH1 employees
- Ellicott City, MD1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- HNW share shiftChange between filings · filing Apr 20, 2026HNW share of RAUM moved from 34.0% to 51.0% between the annual amendments of 2025-04-22 and 2026-04-20peers: independent wealth managers, $1B to $5B (1,360)
What changed
consecutive filings, newest first
- Accounts · 17,774 to 19,082Apr 22, 2025 to Mar 26, 2026
- Advisory employees · 92 to 101Apr 22, 2025 to Mar 26, 2026
- BD registered reps · 89 to 118Apr 22, 2025 to Mar 26, 2026
- Charity clients · 21 to 22Apr 22, 2025 to Mar 26, 2026
- HNW clients · 727 to 1,466Apr 22, 2025 to Mar 26, 2026
- Individual clients · 8,036 to 8,124Apr 22, 2025 to Mar 26, 2026
- Pension plan clients · 220 to 241Apr 22, 2025 to Mar 26, 2026
- Assets in custody · unset to 1500572.0Apr 22, 2025 to Mar 26, 2026
- Custody of client assets · false to trueApr 22, 2025 to Mar 26, 2026
- Employees · 141 to 139Apr 22, 2025 to Mar 26, 2026
- Financial planning clients · 51-100 to 101-250Apr 22, 2025 to Mar 26, 2026
- State-registered IARs · 91 to 115Apr 22, 2025 to Mar 26, 2026
- Other offices · 62 to 68Apr 22, 2025 to Mar 26, 2026
- Discretionary RAUM · $3.0B to $3.7BApr 22, 2025 to Mar 26, 2026
- HNW RAUM · $1.1B to $2.1BApr 22, 2025 to Mar 26, 2026
- Individual RAUM · $1.8B to $1.6BApr 22, 2025 to Mar 26, 2026
- Non-discretionary RAUM · $291M to $477MApr 22, 2025 to Mar 26, 2026
- Pension RAUM · $382M to $414MApr 22, 2025 to Mar 26, 2026
- RAUM · $3.3B to $4.1BApr 22, 2025 to Mar 26, 2026
- Financial planning clients · 51-100 to 51-100Feb 25, 2025 to Apr 22, 2025
- Accounts · 18,269 to 17,774Jan 27, 2025 to Feb 25, 2025
- Advisory employees · 97 to 92Jan 27, 2025 to Feb 25, 2025
- BD registered reps · 94 to 89Jan 27, 2025 to Feb 25, 2025
- Charity clients · 24 to 21Jan 27, 2025 to Feb 25, 2025
- Corporate clients · 19 to 17Jan 27, 2025 to Feb 25, 2025
- HNW clients · 753 to 727Jan 27, 2025 to Feb 25, 2025
- Individual clients · 8,082 to 8,036Jan 27, 2025 to Feb 25, 2025
- Pension plan clients · 199 to 220Jan 27, 2025 to Feb 25, 2025
- Employees · 137 to 141Jan 27, 2025 to Feb 25, 2025
- State-registered IARs · 96 to 91Jan 27, 2025 to Feb 25, 2025
- Other offices · 65 to 62Jan 27, 2025 to Feb 25, 2025
- Discretionary RAUM · $2.6B to $3.0BJan 27, 2025 to Feb 25, 2025
- HNW RAUM · $1.1B to $1.1BJan 27, 2025 to Feb 25, 2025
- Individual RAUM · $1.5B to $1.8BJan 27, 2025 to Feb 25, 2025
- Non-discretionary RAUM · $276M to $291MJan 27, 2025 to Feb 25, 2025
- Pension RAUM · $330M to $382MJan 27, 2025 to Feb 25, 2025
- RAUM · $2.9B to $3.3BJan 27, 2025 to Feb 25, 2025
- Accounts · 16,137 to 18,269Mar 27, 2023 to Mar 4, 2024
- Advisory employees · 98 to 97Mar 27, 2023 to Mar 4, 2024
- BD registered reps · 97 to 94Mar 27, 2023 to Mar 4, 2024
Signals
28 dated events
- Alyssa Marie Molan registered as an investment adviser representative at Founders Financial Securities, LlcSep 16, 2026 · Advisor registered · fact
- Heather M Aeschliman left Founders Financial Securities, LLC for Creative Planning (registered 2026-09-16)Aug 28, 2026 · Advisor changed firm · fact
- David S. Long left Founders Financial Securities, Llc for Lpl Financial Llc (registered 2026-04-10)Apr 14, 2026 · Advisor changed firm · fact
- Founders Financial Securities, Llc reported 68 offices beyond its principal office, up from 62 (2025-04-22 to 2026-03-26)Mar 26, 2026 · Office count change · derived
- Founders Financial Securities, Llc reported 115 state-registered advisory representatives, up from 91 (2025-04-22 to 2026-03-26)Mar 26, 2026 · Advisor headcount change · derived
- 2 advisors left Pks Advisory Services, LLC (Memphis, TN) for Founders Financial Securities, LLC on the same dayOct 2, 2025 · Team lift-out · derived
- 2 advisors left Interactive Financial Advisors (Winchester, VA) for Founders Financial Securities, LLC on the same daySep 10, 2025 · Team lift-out · derived
- Raffaele Nicholas Mazzone left Founders Financial Securities, Llc for Legacy Financial Advisors (registered 2025-06-10)May 23, 2025 · Advisor changed firm · fact
- Jeffrey Glenn Grad left Founders Financial Securities, Llc for Grad Wealth Management Pllc (registered 2024-12-02)Dec 3, 2024 · Advisor changed firm · fact
- Ty Eric Boggs left Founders Financial Securities, Llc for Resolute Retirement Consulting (registered 2024-09-27)Oct 4, 2024 · Advisor changed firm · fact
- Carol Marie Miskovich left Founders Financial Securities, Llc for Lpl Financial Llc (registered 2024-09-23)Sep 23, 2024 · Advisor changed firm · fact
- Jason Conrad Huntley left Founders Financial Securities, Llc for Lpl Financial Llc (registered 2024-08-01)Jul 31, 2024 · Advisor changed firm · fact
- Laura Carrera Warnock left Founders Financial Securities, Llc for Lone Peak Advisers (registered 2024-05-03)May 2, 2024 · Advisor changed firm · fact
- Founders Financial Securities, Llc reported RAUM $2.9B, up 28% from $2.3B (2023-03-27 to 2024-03-04)Mar 4, 2024 · RAUM change · derived
- Daniel Joshua Swain left Founders Financial Securities, Llc for Raymond James Financial Services Advisors, Inc (registered 2023-08-21)Aug 2, 2023 · Advisor changed firm · fact
- 2 advisors left Securities America Advisors, Inc. (Charlton, MA) for Founders Financial Securities, LLC on the same dayAug 1, 2023 · Team lift-out · derived
- Founders Financial Securities, Llc reported 105 state-registered advisory representatives, up from 87 (2023-01-23 to 2023-03-27)Mar 27, 2023 · Advisor headcount change · derived
- 2 advisors left Next Financial Group, Inc. (Downingtown, PA) for Founders Financial Securities, LLC on the same daySep 7, 2022 · Team lift-out · derived
- Glenn Robert Matecun left Founders Financial Securities, Llc for Exodus Wealth, Llc (registered 2022-08-22)Aug 19, 2022 · Advisor changed firm · fact
- Shane Heddy left Founders Financial Securities, Llc for Osaic Wealth, Inc. (registered 2022-08-19)Aug 19, 2022 · Advisor changed firm · fact
- Bradley Carl Jerome left Founders Financial Securities, Llc for Osaic Wealth, Inc. (registered 2022-08-19)Aug 19, 2022 · Advisor changed firm · fact
- Roger Joel Conde left Founders Financial Securities, Llc for Cambridge Investment Research Advisors, Inc. (registered 2022-03-30)Mar 30, 2022 · Advisor changed firm · fact
- 2 advisors left Founders Financial Securities, LLC (EL Segundo, CA) for Cambridge Investment Research Advisors, Inc. on the same dayMar 30, 2022 · Team lift-out · derived
- Kelley Anne Lebica left Founders Financial Securities, Llc for Cambridge Investment Research Advisors, Inc. (registered 2022-03-30)Mar 30, 2022 · Advisor changed firm · fact
- Founders Financial Securities, Llc reported RAUM $2.2B, up 62% from $1.3B (2021-03-08 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- Founders Financial Securities, Llc reported RAUM $1.3B, up 27% from $1.0B (2019-11-06 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
- Founders Financial Securities, Llc reported 59 offices beyond its principal office, up from 5 (2018-02-26 to 2018-03-29)Mar 29, 2018 · Office count change · derived
- Founders Financial Securities, Llc reported RAUM $980.9M, up 30% from $754.9M (2018-02-26 to 2018-03-29)Mar 29, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business phone
- 410-308-9988reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- at.linkedin.com/company/foundersfinancialreportedpublic record, Form ADV, Sep 17, 2026
- Website
- foundersfcms.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 410-308-9988reportedpublic record, Form ADV, Apr 20, 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
- $35.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026