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

Foundation Retirement Plan Consultants, LLC

Former SEC-registered adviserWhite Plains, New YorkCRD 170416SEC 801-107746IAPD
Latest filing Feb 27, 2019
First filing on the tape Jan 31, 2014 · 20 filings
RAUM
$84.8M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
6 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$84.8M as of Feb 27, 2019
Mar 30, 2017$74.1M then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Feb 27, 2019
Mar 30, 20175 then
Employees (5.A)6 as of Feb 27, 2019
Mar 30, 20177 then
Private funds: no history
RAUM -6.6% over the last fiscal yearIARs 5 to 3
Practice profile
derived from the filing of Feb 27, 2019; every figure names its basis
RAUM per advisor
$28.3MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$1.2MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
100%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
1.0derived3 offices incl. principal (1.F.5)
RAUM growth, one year
-6.6%derivedbetween the last two annual amendments
Advisor growth, one year
-40%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
pension consultingreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pension and profit-sharing plans$84.8M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
68reported
Charitable clients
n/areported
Accounts
68reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Evan Jonathan Bernstein · Chief Compliance Officercontrol
    since 06/2018 · owns less than 5%
  • Evan Jonathan Bernstein · Managing Membercontrol
    since 10/2015 · owns 75% or more of Roundangle Advisors LLC
  • Samuel Benjamin Gerut · Member
    since 01/2015 · owns F of Roundangle Advisors LLC
Entity owners
  • Roundangle Advisors LLC · Managing Member
    direct · owns 75% or more
Related persons
Schedule D 7.A
  • Benjamin Gerut
    pooled vehicle sponsory
  • Jonathan Bernstein
    insurancen
  • Roundangle Advisors LLC
    investment adviserreal estateyRAUM $216M
Advisers that list Foundation Retirement Plan Consultants, LLC as a related person
Offices
Schedule D 1.F, the 25 largest
  • Red Bank, NJ1 employees
  • New York, NY1 employees
What changed
consecutive filings, newest first
  • Accounts · 73 to 68
    Jun 19, 2018 to Feb 27, 2019
  • Pension plan clients · 73 to 68
    Jun 19, 2018 to Feb 27, 2019
  • Employees · 7 to 6
    Jun 19, 2018 to Feb 27, 2019
  • Insurance-licensed employees · 5 to 3
    Jun 19, 2018 to Feb 27, 2019
  • Financial planning clients · unset to 0
    Jun 19, 2018 to Feb 27, 2019
  • State-registered IARs · 5 to 3
    Jun 19, 2018 to Feb 27, 2019
  • Non-discretionary RAUM · $90.8M to $84.8M
    Jun 19, 2018 to Feb 27, 2019
  • Pension RAUM · $90.8M to $84.8M
    Jun 19, 2018 to Feb 27, 2019
  • RAUM · $90.8M to $84.8M
    Jun 19, 2018 to Feb 27, 2019
  • HQ city · VALLEY STREAM to WHITE PLAINS
    Feb 27, 2019 to Feb 27, 2019
  • Accounts · 71 to 73
    Jul 6, 2017 to Mar 23, 2018
  • Pension plan clients · unset to 73.0
    Jul 6, 2017 to Mar 23, 2018
  • Other offices · unset to 2.0
    Jul 6, 2017 to Mar 23, 2018
  • Non-discretionary RAUM · $74.1M to $90.8M
    Jul 6, 2017 to Mar 23, 2018
  • Pension RAUM · unset to 90800000.0
    Jul 6, 2017 to Mar 23, 2018
  • RAUM · $74.1M to $90.8M
    Jul 6, 2017 to Mar 23, 2018
  • Accounts · 82 to 71
    May 27, 2016 to Mar 30, 2017
  • Advisory employees · 3 to 6
    May 27, 2016 to Mar 30, 2017
  • BD registered reps · 0 to 1
    May 27, 2016 to Mar 30, 2017
  • Employees · 3 to 7
    May 27, 2016 to Mar 30, 2017
  • Insurance-licensed employees · 0 to 5
    May 27, 2016 to Mar 30, 2017
  • HQ city · NEW YORK to VALLEY STREAM
    May 27, 2016 to Mar 30, 2017
  • State-registered IARs · 3 to 5
    May 27, 2016 to Mar 30, 2017
  • Organization form · Corporation to Limited Liability Company
    May 27, 2016 to Mar 30, 2017
  • Non-discretionary RAUM · $66.0M to $74.1M
    May 27, 2016 to Mar 30, 2017
  • RAUM · $66.0M to $74.1M
    May 27, 2016 to Mar 30, 2017
  • Related insurance company · false to true
    May 27, 2016 to Mar 30, 2017
  • Accounts · 0 to 82
    Dec 8, 2014 to Apr 20, 2016
  • Advisory employees · 2 to 3
    Dec 8, 2014 to Apr 20, 2016
  • Business name · FOUNDATION RETIREMENT PLAN CONSULTANTS INC. to FOUNDATION RETIREMENT PLAN CONSULTANTS, LLC
    Dec 8, 2014 to Apr 20, 2016
  • Employees · 2 to 3
    Dec 8, 2014 to Apr 20, 2016
  • Insurance-licensed employees · 2 to 0
    Dec 8, 2014 to Apr 20, 2016
  • Financial planning clients · 0 to unset
    Dec 8, 2014 to Apr 20, 2016
  • HQ city · VALLEY STREAM to NEW YORK
    Dec 8, 2014 to Apr 20, 2016
  • State-registered IARs · 2 to 3
    Dec 8, 2014 to Apr 20, 2016
  • Legal name · FOUNDATION RETIREMENT PLAN CONSULTANTS INC. to FOUNDATION RETIREMENT PLAN CONSULTANTS, LLC
    Dec 8, 2014 to Apr 20, 2016
  • Non-discretionary RAUM · $0 to $66.0M
    Dec 8, 2014 to Apr 20, 2016
  • RAUM · $0 to $66.0M
    Dec 8, 2014 to Apr 20, 2016
  • Related adviser · false to true
    Dec 8, 2014 to Apr 20, 2016
  • Insurance-licensed employees · 1 to 2
    May 30, 2014 to Sep 15, 2014
Signals
1 dated events
  • Foundation Retirement Plan Consultants, Llc filed its initial SEC registration (Form ADV)
    Apr 20, 2016 · First SEC registration · fact
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