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.

Former SEC-registered adviser

Foundations Asset Management, LLC

Former SEC-registered adviserAnchorage, AlaskaCRD 145900SEC 801-68861IAPD
Latest filing Jan 15, 2021
First filing on the tape Jan 6, 2012 · 49 filings
RAUM
$178M
reported, Item 5.F
Discretionary
74%
of RAUM
Private clients
71%
$126M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
49 filings and snapshots on the tape
RAUM$178M as of Jan 15, 2021
Jan 6, 2012$130M then
HNW client RAUM$85.2M as of Jan 15, 2021
Jan 31, 2018$87.0M then
State-registered IARs (5.B.3)3 as of Jan 15, 2021
Jan 6, 20120 then
Employees (5.A)4 as of Jan 15, 2021
Mar 5, 20136 then
Private funds: no history
RAUM -3.9% over the last fiscal year-2.5% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Jan 15, 2021; every figure names its basis
RAUM per advisor
$59.2MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
125derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$887,406derivedHNW RAUM over HNW clients
Average account
$290,359derivedRAUM over accounts (5.F.2.f)
Discretionary
74%derivedof RAUM
Institutional
25%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.3derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-3.9%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-15%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$85.2M48%
  • Pension and profit-sharing plans$45.0M25%
  • Individuals$41.0M23%
  • Corporations and businesses$6.3M3.6%
  • Charitable organizations$185,0000.1%
Individual clients
280reported
HNW clients
96reported
Pension plan clients
11reported
Charitable clients
1reported
Accounts
612reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Wayne Michael Shamburger · Principal/Chief Compliance Officer/Managing Membercontrol
      since 04/2008 · owns 50% to 75%
    • Eric Rob Wedel · Managing Membercontrol
      since 12/2016 · owns 50% to 75%
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 740 to 612
      May 5, 2020 to Jan 15, 2021
    • Charity clients · 9 to 1
      May 5, 2020 to Jan 15, 2021
    • Corporate clients · 4 to 6
      May 5, 2020 to Jan 15, 2021
    • HNW clients · 290 to 96
      May 5, 2020 to Jan 15, 2021
    • Individual clients · 150 to 280
      May 5, 2020 to Jan 15, 2021
    • Pension plan clients · 35 to 11
      May 5, 2020 to Jan 15, 2021
    • Discretionary RAUM · $145M to $132M
      May 5, 2020 to Jan 15, 2021
    • HNW RAUM · $85.0M to $85.2M
      May 5, 2020 to Jan 15, 2021
    • Individual RAUM · $35.0M to $41.0M
      May 5, 2020 to Jan 15, 2021
    • Non-discretionary RAUM · $40.0M to $45.7M
      May 5, 2020 to Jan 15, 2021
    • Pension RAUM · $35.0M to $45.0M
      May 5, 2020 to Jan 15, 2021
    • RAUM · $185M to $178M
      May 5, 2020 to Jan 15, 2021
    • Accounts · 743 to 740
      Jan 6, 2020 to Jan 27, 2020
    • Corporate clients · 5 to 4
      Jan 6, 2020 to Jan 27, 2020
    • HNW clients · 295 to 290
      Jan 6, 2020 to Jan 27, 2020
    • Individual clients · 148 to 150
      Jan 6, 2020 to Jan 27, 2020
    • Financial planning clients · 11-25 to 1-10
      Jan 6, 2020 to Jan 27, 2020
    • Discretionary RAUM · $147M to $145M
      Jan 6, 2020 to Jan 27, 2020
    • HNW RAUM · $75.0M to $85.0M
      Jan 6, 2020 to Jan 27, 2020
    • Pension RAUM · $37.0M to $35.0M
      Jan 6, 2020 to Jan 27, 2020
    • RAUM · $187M to $185M
      Jan 6, 2020 to Jan 27, 2020
    • Assets in custody · 20000000.0 to unset
      Jan 18, 2019 to Aug 26, 2019
    • Custody of client assets · true to false
      Jan 18, 2019 to Aug 26, 2019
    • Accounts · 746 to 743
      May 11, 2018 to Jan 18, 2019
    • HNW clients · 297 to 295
      May 11, 2018 to Jan 18, 2019
    • Discretionary RAUM · $150M to $147M
      May 11, 2018 to Jan 18, 2019
    • HNW RAUM · $87.0M to $75.0M
      May 11, 2018 to Jan 18, 2019
    • Non-discretionary RAUM · $42.0M to $40.0M
      May 11, 2018 to Jan 18, 2019
    • Pension RAUM · $42.0M to $37.0M
      May 11, 2018 to Jan 18, 2019
    • RAUM · $192M to $187M
      May 11, 2018 to Jan 18, 2019
    • Accounts · 765 to 746
      Sep 22, 2017 to Jan 31, 2018
    • Charity clients · unset to 9.0
      Sep 22, 2017 to Jan 31, 2018
    • Corporate clients · unset to 5.0
      Sep 22, 2017 to Jan 31, 2018
    • HNW clients · unset to 297.0
      Sep 22, 2017 to Jan 31, 2018
    • Individual clients · unset to 148.0
      Sep 22, 2017 to Jan 31, 2018
    • Pension plan clients · unset to 35.0
      Sep 22, 2017 to Jan 31, 2018
    • Pooled vehicle clients · unset to 0.0
      Sep 22, 2017 to Jan 31, 2018
    • Assets in custody · unset to 20000000.0
      Sep 22, 2017 to Jan 31, 2018
    • Custody of client assets · false to true
      Sep 22, 2017 to Jan 31, 2018
    • Other offices · unset to 0.0
      Sep 22, 2017 to Jan 31, 2018
    Signals
    No event on the tape.
    Across DFX
    shared identifiers only, never a name match
    No identifier-backed link to the venture, private equity, family office or sponsor graphs.
    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
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026