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
Foundations Investment Advisors LLC
Latest filing Sep 3, 2026
First filing on the tape Jun 30, 2015 · 77 filings
SEC status approved since Jul 13, 2015
RAUM
$10B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$10B individuals and HNW
Advisors
298
registered through the firm on IAPD
RAUM per advisor
$33.9M
derived; firm RAUM over IAPD count
Employees
353
289 advisory (5.B.1)
Offices
85
beyond the principal office
Private funds
0
reported on Schedule D
History
77 filings and snapshots on the tape
RAUM$10B as of Jul 30, 2026
Mar 28, 2016$15.0M then
HNW client RAUM$5.4B as of Jul 30, 2026
Apr 2, 2018$60.6M then
State-registered IARs (5.B.3)289 as of Jul 30, 2026
Mar 28, 201628 then
Employees (5.A)353 as of Jul 30, 2026
Mar 28, 201631 then
Private funds: no history
RAUM +41% over the last fiscal year+39% a year over threeIARs 229 to 289
Practice profile
derived from the filing of Sep 3, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- RAUM per advisor
- $33.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 99derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $887,174derivedHNW RAUM over HNW clients
- Average account
- $158,759derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 3.5derived86 offices incl. principal (1.F.5)
- RAUM growth, one year
- +41%derivedbetween the last two annual amendments
- Advisor growth, one year
- +26%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +18%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, educational seminarsreportedItem 5.G
- Custody
- $212M, 2,718 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Firms absorbed, 24 months
- 1derivedhalf or more of a firm's advisors moved here within 14 days
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- marketing includes testimonials (5.L.1.c)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$5.4B53%
- Individuals$4.7B47%
- Corporations and businesses$21.6M0.2%
- Pension and profit-sharing plans$6.3M0.1%
- Individual clients
- 23,568reported
- HNW clients
- 6,047reported
- Pension plan clients
- 23reported
- Charitable clients
- n/areported
- Accounts
- 63,604reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $212M for 2,718 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
295 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Ernest Anthony Baillargeon | Scottsdale, Az | Jun 19, 2015 | 11 y | 1 |
| Edward Friedel Kinsey | Farmington, Ut | Aug 13, 2015 | 19 y | 1 |
| Bradley Paul Malia | Tampa, Fl | Sep 3, 2015 | 11 y | 0 |
| Richard M Roethel | Phoenix, Az | Oct 15, 2015 | 20 y | 0 |
| Richard John Pelletier | West Springfield, Ma | Dec 9, 2015 | 29 y | 0 |
| Lance Gilman | Stamford, Ct | Jan 14, 2016 | 17 y | 0 |
| Peter Thomas Hanson | Saco, Me | May 9, 2016 | 12 y | 0 |
| Christopher A Shelton | Ellsworth, Me | May 24, 2016 | 12 y | 0 |
| Jeffrey Michael Truchon | Phoenix, Az | Oct 26, 2016 | 10 y | 0 |
| Marc Montini | Phoenix, Az | Nov 25, 2016 | 11 y | 0 |
| Susan Marguerite Mcbournie | Phoenix, Az | Feb 3, 2017 | 12 y | 1 |
| Matthew John Dunn | Phoenix, Az | Feb 6, 2017 | 15 y | 1 |
| Martin Jacob Dolph | Phoenix, Az | Feb 8, 2017 | 11 y | 0 |
| Francis Joseph Hebert | Eldersburg, Md | Mar 6, 2017 | 34 y | 5 |
| Kevin Earl SkaltsisCertified Financial Planner | Phoenix, Az | Jun 21, 2017 | 18 y | 4 |
| Marcia Lynn Bernstein | Phoenix, Az | Jun 27, 2017 | 26 y | 1 |
| Jeremy P Barnard | Lisbon Falls, Me | Jul 20, 2017 | 10 y | 0 |
| Jimmy Wayne Hagy | Chattanooga, Tn | Jul 21, 2017 | 12 y | 0 |
| Craig Stephen Hebert | Phoenix, Az | Sep 26, 2017 | 24 y | 0 |
| Daniel Richard Murphy | Phoenix, Az | Dec 21, 2017 | 15 y | 2 |
| Stewart A Willis | Denver, Co | Mar 30, 2018 | 21 y | 1 |
| Darren Lamare Lundy | Westerville, Oh | May 11, 2018 | 29 y | 2 |
| Micheline A Dagher | Burlington, Ma | May 21, 2018 | 15 y | 1 |
| June Marie Braithwaite | Phoenix, Az | Oct 31, 2018 | 10 y | 0 |
| Ryan Allen Breedwell | Phoenix, Az | Nov 8, 2018 | 10 y | 0 |
| Garry Lee Pakozdy | Phoenix, Az | Dec 27, 2018 | 30 y | 1 |
| Alex B Perez | San Antonio, Tx | Jan 8, 2019 | 30 y | 5 |
| Josiah James Fricke | Bentonville, Ar | Feb 21, 2019 | 19 y | 2 |
| Connie Denise Densmore | Phoenix, Az | Mar 8, 2019 | 29 y | 3 |
| Patrick Joseph Moriarty | Rockville, Md | May 16, 2019 | 38 y | 2 |
| Thad Gerard Wellshear | Phoenix, Az | Jul 30, 2019 | 23 y | 0 |
| Joseph Georges BaakliniCertified Financial Planner | Phoenix, Az | Aug 15, 2019 | 13 y | 0 |
| Brian Paul Quaranta | Zelienople, Pa | Sep 19, 2019 | 26 y | 0 |
| Nathanial P Fort | Cedar Park, Tx | Dec 16, 2019 | 18 y | 2 |
| Barbara Alison Traylor SmithChartered Financial Consultant | Grand Junction, Co | Jan 7, 2020 | 32 y | 3 |
| Michael Todd PugsleyCertified Financial Planner | Phoenix, Az | Jan 29, 2020 | 31 y | 1 |
| Maggie Louise Wenzelburger | Zelienople, Pa | Mar 5, 2020 | 18 y | 0 |
| Derek R Huot | Auburn, Me | Jun 15, 2020 | 14 y | 0 |
| Neil Joseph Mager | Phoenix, Az | Jul 7, 2020 | 21 y | 0 |
| Matthew Allan TuckerCertified Financial Planner | Phoenix, Az | Aug 18, 2020 | 12 y | 2 |
Advisor movement
58 left, 79 joined in 12 months
net +21 in 12 months9 left in 90 days12 joined in 90 daysdeparture rate 19% of current headcount114 left over 36 months
Left, latest
- Thomas Joseph Ponce to KrilogySep 11, 2026 · RIA to RIA
- Steven Robert Larsen to Horizon Ridge Advisors L.L.C.Aug 13, 2026 · RIA to a state-registered adviser
- Andrew G Cavasino to Virtue Capital Management, LLCAug 13, 2026 · RIA to RIA
- Terek Wilson to Cambridge Investment Research Advisors, Inc.Aug 11, 2026 · RIA to affiliated broker-dealer or bank
- Lashae Maurice Mcmillan to Signal Advisors Wealth, LLCJul 1, 2026 · RIA to RIA
- Joshua Domagoi Carapina to Signal Advisors Wealth, LLCJul 1, 2026 · RIA to RIA
- Kermit Dale Mcgregor to Signal Advisors Wealth, LLCJun 30, 2026 · RIA to RIA
- Cherish Ruby Grey to Breiter Wealth Management, LLCJun 26, 2026 · RIA to a newly registered adviser
- Joshua Eric Reesman to Breiter Wealth Management, LLCJun 25, 2026 · RIA to a newly registered adviser
- Gregory Lynn Lynch to Ae Wealth Management, LLCJun 18, 2026 · RIA to affiliated broker-dealer or bank
- Robert Joseph Caldwell to MML Investors Services, LLCJun 18, 2026 · RIA to affiliated broker-dealer or bank
- Brent Allen Ward to Award Financial GroupMay 29, 2026 · RIA to a state-registered adviser
- Richard Derek Brady to Helios Financial Services, LLCMay 19, 2026 · RIA to a state-registered adviser
- Cynthia Brooks Lee to Wells Fargo AdvisorsMay 6, 2026 · RIA to wirehouse
- Michael P. Lacy to J.P. Morgan Securities LLCApr 20, 2026 · RIA to wirehouse
Joined, latest
- Alfredo Atencio from Desert Rose Capital Management, Inc.Sep 16, 2026 · RIA to RIA
- Jonathan Moser Spatz from Lifeworks Advisors, LLCAug 18, 2026 · RIA to RIA
- Brendan Shea Bayron from Rise North Capital Investment AdvisorsAug 18, 2026 · RIA to RIA
- William R Watson from Charles Schwab & Co., Inc.Aug 18, 2026 · Affiliated broker-dealer or bank to independent RIA
- Martin Charles O'Shaughnessy from Cfg RetirementAug 7, 2026 · RIA to RIA
- Weylin Mcadams from J.P. Morgan Securities LLCJul 20, 2026 · Wirehouse to independent RIA
- Matthew Raymond Hisey from Virtue Capital Management, LLCJul 9, 2026 · RIA to RIA
- Wendy Joan Nicholson from Safety First Wealth ManagementJul 9, 2026 · Other
- Jerry Lee Sylvester from Oxford Wealth Group, LLCJul 8, 2026 · RIA to RIA
- Dane Carpenter Spencer from Oxford Wealth Group, LLCJul 7, 2026 · RIA to RIA
- Lacey Thompson-Krul from Transce3nd LLCJun 23, 2026 · RIA to RIA
- Dexter Irvin Pierce from Impact Partnership Wealth, LLCJun 22, 2026 · RIA to RIA
- Danielle Denise Douglas from Imber Financial Group, LLCJun 11, 2026 · RIA to RIA
- Ronald Henry Somers from Verity Asset ManagementJun 9, 2026 · RIA to RIA
- Nathan David Smith from Simplicity WealthJun 1, 2026 · RIA to RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for Rise North Capital Investment AdvisorsMar 4, 2026 · Phoenix, Az
- 4 left for Rise North Capital Investment AdvisorsMar 4, 2026 · Braintree, Ma
- 4 left for Rise North Capital Investment AdvisorsMar 4, 2026 · Nashua, Nh
- 2 left for Market Investment Group, LLCSep 30, 2025 · Phoenix, Az
- 3 left for Advisornet Wealth PartnersMar 3, 2025 · Minnetonka, Mn
- 2 left for Rwm Capital, LLCOct 30, 2024 · Mobile, Al
- 2 left for Rwm Capital, LLCOct 30, 2024 · Pensacola, Fl
- 2 left for Simplicity WealthAug 15, 2024 · Windham, Nh
- 2 joined from Oxford Wealth Group, LLCJun 29, 2026 · Orlando, Fl
- 3 joined from Ae Wealth Management, LLCDec 17, 2025 · Sandy, Ut
- 2 joined from Retirement Financial Group, LLCNov 3, 2025 · The Woodlands, Tx
- 2 joined from Prosperity Capital AdvisorsOct 1, 2025 · Melbourne, Fl
- 3 joined from Prosperity Capital AdvisorsOct 1, 2025 · St Louis, Mo
- 7 joined from Prosperity Capital AdvisorsOct 1, 2025 · Westlake, Oh
- 2 joined from Sound Income Strategies, LLCAug 29, 2025 · Norman, Ok
- 2 joined from Creativeone Wealth, LLCJun 17, 2025 · Bristol, Ri
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Ryan Joshua Cooksey · Coocontrolsince 09/2025 · owns less than 5%
- Dale Jarrod Florence · Presidentcontrolsince 02/2022 · owns less than 5%
- Bryon Rice · Owner / Ceocontrolsince 03/2015 · owns 75% or more
- Michael Kyle Mann · Chief Financial Officersince 12/2018 · owns less than 5%
- James Marc Pugsley · Chief Compliance Officersince 11/2024 · owns less than 5%
- Suzanne Emily Reitan · Coosince 08/2024 · owns less than 5%
Entity owners
- The Bryon And Kirsten Rice · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
- Alpha 1 Tax And Wealth Management, LLCreal estaten
- Asset Preservation Tax & Retirement, LLCreal estaten
- Charter Law Group, LLCn
- Magellan Financial & Insurances Services Inc.real estaten
- Magellan Healthcare, LLCreal estaten
- Omega Wealth Private Capital LLCinvestment advisernRAUM $102M
Advisers that list Foundations Investment Advisors LLC as a related person
- 322078 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Phoenix, Az · principal | 297 | 103 | 24 | 2 | |
| Peoria, Az | 11 | 0 | 0 | ||
| St Louis, Mo | 10 | 10 | 2 | ||
| Denver, Co | 9 | 0 | 0 | ||
| Southlake, Tx | 8 | 1 | 0 | ||
| Zelienople, Pa | 6 | 0 | 1 | ||
| Charlotte, Nc | 6 | 2 | 1 | ||
| Scottsdale, Az | 6 | 0 | 0 | ||
| Plano, Tx | 5 | 0 | 0 | ||
| Brighton, Mi | 5 | 2 | 0 | ||
| Chattanooga, Tn | 5 | 0 | 0 | ||
| Mystic, Ct | 4 | 1 | 0 | ||
| Roseville, Ca | 4 | 1 | 0 | ||
| Cartersville, Ga | 4 | 2 | 0 | ||
| Houston, Tx | 4 | 1 | 0 | ||
| Atlanta, Ga | 4 | 0 | 0 | ||
| Renton, Wa | 4 | 1 | 0 | ||
| Spring, Tx | 4 | 1 | 0 | ||
| Katy, Tx | 4 | 1 | 0 | ||
| West Hartford, Ct | 4 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Denver, CO5 employees
- West Springfield, MA4 employees
- Farmington Hills, MI3 employees
- Grapevine, TX3 employees
- Minnetonka, MN3 employees
- Wichita, KS3 employees
- Auburn, ME3 employees
- Chattanooga, TN2 employees
- Bingham Farms, MI2 employees
- Walpole, MA2 employees
- Zelienople, PA2 employees
- Tampa, FL1 employees
- Topeka, KS1 employees
- West Hartford, CT1 employees
- , 1 employees
- Augusta, ME1 employees
- Austin, TX1 employees
- Chataanooga, TN1 employees
- Farmington, UT1 employees
- Franklin, TN1 employees
- Grand Junction, CO1 employees
- League City, TX1 employees
- Phoenix, AZ1 employees
- Sacramento, CA1 employees
- Surprise, AZ1 employees
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Sep 3, 2026COOKSEY, JOSHUA, RYAN (COO) appeared on Schedule A between the filings of 2024-11-23 and 2026-09-03peers: independent wealth managers, $5B to $20B (289)
- control person changedChange between filings · filing Sep 3, 2026RICE, BRYON (OWNER / CEO) left Schedule A between the filings of 2024-11-23 and 2026-09-03peers: independent wealth managers, $5B to $20B (289)
- new owner headcount expandsCombination · filing Mar 27, 2026THE BRYON AND KIRSTEN RICE joined Schedule A on the filing of 2026-09-03; advisors 229.0 to 289.0 between the annual amendments of 2025-04-29 and 2026-03-27peers: independent wealth managers, $5B to $20B (289)
What changed
consecutive filings, newest first
- Financial planning clients · 251-500 to 251-500Jul 30, 2026 to Sep 3, 2026
- Succession · false to unsetJul 30, 2026 to Sep 3, 2026
- Accounts · 53,653 to 63,604Dec 18, 2025 to Mar 27, 2026
- Advisory employees · 229 to 289Dec 18, 2025 to Mar 27, 2026
- Advisory activities · 5 to 4Dec 18, 2025 to Mar 27, 2026
- Corporate clients · 16 to 25Dec 18, 2025 to Mar 27, 2026
- HNW clients · 4,672 to 6,047Dec 18, 2025 to Mar 27, 2026
- Individual clients · 20,474 to 23,568Dec 18, 2025 to Mar 27, 2026
- Pension plan clients · unset to 23.0Dec 18, 2025 to Mar 27, 2026
- Assets in custody · $316M to $212MDec 18, 2025 to Mar 27, 2026
- Employees · 284 to 353Dec 18, 2025 to Mar 27, 2026
- Insurance-licensed employees · 14 to 11Dec 18, 2025 to Mar 27, 2026
- State-registered IARs · 229 to 289Dec 18, 2025 to Mar 27, 2026
- Discretionary RAUM · $7.1B to $10BDec 18, 2025 to Mar 27, 2026
- HNW RAUM · $3.6B to $5.4BDec 18, 2025 to Mar 27, 2026
- Individual RAUM · $3.5B to $4.7BDec 18, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $72.8M to $0Dec 18, 2025 to Mar 27, 2026
- Pension RAUM · unset to 6260331.0Dec 18, 2025 to Mar 27, 2026
- RAUM · $7.2B to $10BDec 18, 2025 to Mar 27, 2026
- Financial planning clients · 251-500 to 251-500Apr 29, 2025 to Jul 1, 2025
- Accounts · 48,764 to 53,653Nov 23, 2024 to Apr 29, 2025
- Advisory employees · 187 to 229Nov 23, 2024 to Apr 29, 2025
- Advisory activities · 4 to 5Nov 23, 2024 to Apr 29, 2025
- BD registered reps · 1 to 0Nov 23, 2024 to Apr 29, 2025
- Corporate clients · 15 to 16Nov 23, 2024 to Apr 29, 2025
- HNW clients · 4,200 to 4,672Nov 23, 2024 to Apr 29, 2025
- Individual clients · 19,804 to 20,474Nov 23, 2024 to Apr 29, 2025
- Assets in custody · $366M to $316MNov 23, 2024 to Apr 29, 2025
- Employees · 240 to 284Nov 23, 2024 to Apr 29, 2025
- Insurance-licensed employees · 12 to 14Nov 23, 2024 to Apr 29, 2025
- Financial planning clients · 101-250 to 251-500Nov 23, 2024 to Apr 29, 2025
- State-registered IARs · 187 to 229Nov 23, 2024 to Apr 29, 2025
- Discretionary RAUM · $6.6B to $7.1BNov 23, 2024 to Apr 29, 2025
- HNW RAUM · $3.3B to $3.6BNov 23, 2024 to Apr 29, 2025
- Individual RAUM · $3.4B to $3.5BNov 23, 2024 to Apr 29, 2025
- Non-discretionary RAUM · $70.6M to $72.8MNov 23, 2024 to Apr 29, 2025
- RAUM · $6.7B to $7.2BNov 23, 2024 to Apr 29, 2025
- Related broker-dealer · true to falseOct 1, 2024 to Nov 23, 2024
- Accounts · 47,304 to 48,764Aug 15, 2024 to Oct 1, 2024
- Corporate clients · 16 to 15Aug 15, 2024 to Oct 1, 2024
Signals
60 dated events
- Alfredo Atencio registered as an investment adviser representative at Foundations Investment Advisors LlcSep 16, 2026 · Advisor registered · fact
- Thomas Joseph Ponce left Foundations Investment Advisors LLC for Krilogy (registered 2026-09-15)Sep 11, 2026 · Advisor changed firm · fact
- Andrew G Cavasino left Foundations Investment Advisors Llc for Virtue Capital Management, Llc (registered 2026-08-12)Aug 13, 2026 · Advisor changed firm · fact
- Steven Robert Larsen left Foundations Investment Advisors Llc for Horizon Ridge Advisors L.L.C. (registered 2026-05-08)Aug 13, 2026 · Advisor changed firm · fact
- Terek Wilson left Foundations Investment Advisors Llc for Cambridge Investment Research Advisors, Inc. (registered 2026-08-24)Aug 11, 2026 · Advisor changed firm · fact
- Joshua Domagoi Carapina left Foundations Investment Advisors Llc for Signal Advisors Wealth, Llc (registered 2026-07-02)Jul 1, 2026 · Advisor changed firm · fact
- Lashae Maurice Mcmillan left Foundations Investment Advisors Llc for Signal Advisors Wealth, Llc (registered 2026-06-30)Jul 1, 2026 · Advisor changed firm · fact
- Kermit Dale Mcgregor left Foundations Investment Advisors Llc for Signal Advisors Wealth, Llc (registered 2026-06-30)Jun 30, 2026 · Advisor changed firm · fact
- 2 advisors left Oxford Wealth Group, LLC (Orlando, FL) for Foundations Investment Advisors LLC on the same dayJun 29, 2026 · Team lift-out · derived
- Cherish Ruby Grey left Foundations Investment Advisors Llc for Breiter Wealth Management, Llc (registered 2026-08-06)Jun 26, 2026 · Advisor changed firm · fact
- Joshua Eric Reesman left Foundations Investment Advisors Llc for Breiter Wealth Management, Llc (registered 2026-06-26)Jun 25, 2026 · Advisor changed firm · fact
- Gregory Lynn Lynch left Foundations Investment Advisors Llc for Ae Wealth Management, Llc (registered 2026-06-17)Jun 18, 2026 · Advisor changed firm · fact
- Robert Joseph Caldwell left Foundations Investment Advisors Llc for Mml Investors Services, Llc (registered 2026-07-23)Jun 18, 2026 · Advisor changed firm · fact
- Brent Allen Ward left Foundations Investment Advisors Llc for Award Financial Group (registered 2026-06-01)May 29, 2026 · Advisor changed firm · fact
- Richard Derek Brady left Foundations Investment Advisors Llc for Helios Financial Services, Llc (registered 2026-04-22)May 19, 2026 · Advisor changed firm · fact
- Cynthia Brooks Lee left Foundations Investment Advisors Llc for Wells Fargo Advisors (registered 2026-07-27)May 6, 2026 · Advisor changed firm · fact
- Michael P. Lacy left Foundations Investment Advisors Llc for J.P. Morgan Securities Llc (registered 2026-05-11)Apr 20, 2026 · Advisor changed firm · fact
- Jonathan Scott O'Reilly left Foundations Investment Advisors Llc for Limehouse Wealth Management Llc (registered 2026-01-29)Apr 17, 2026 · Advisor changed firm · fact
- Jeffrey Stephen Blocker left Foundations Investment Advisors Llc for Advisor Share Wealth Management, Llc (registered 2026-07-02)Apr 8, 2026 · Advisor changed firm · fact
- Janet Mohler Knight left Foundations Investment Advisors Llc for Creativeone Wealth, Llc (registered 2026-04-08)Apr 7, 2026 · Advisor changed firm · fact
- Haidy Wahid Eskander left Foundations Investment Advisors Llc for Wells Fargo Advisors (registered 2026-03-24)Mar 30, 2026 · Advisor changed firm · fact
- Luke A Luciano left Foundations Investment Advisors Llc for Truist Advisory Services, Inc. (registered 2026-04-09)Mar 30, 2026 · Advisor changed firm · fact
- Amos Madison left Foundations Investment Advisors Llc for J.P. Morgan Securities Llc (registered 2026-04-06)Mar 27, 2026 · Advisor changed firm · fact
- Kyle John Soscia left Foundations Investment Advisors Llc for Lpl Financial Llc (registered 2026-04-20)Mar 27, 2026 · Advisor changed firm · fact
- Eduardo Caldera left Foundations Investment Advisors Llc for Retirement Systems Llc (registered 2026-03-23)Mar 27, 2026 · Advisor changed firm · fact
- Foundations Investment Advisors Llc reported RAUM $10.1B, up 41% from $7.2B (2025-12-18 to 2026-03-27)Mar 27, 2026 · RAUM change · derived
- Foundations Investment Advisors Llc reported 289 state-registered advisory representatives, up from 229 (2025-12-18 to 2026-03-27)Mar 27, 2026 · Advisor headcount change · derived
- Killian Michael Dowd left Foundations Investment Advisors Llc for Rise North Capital Investment Advisors (registered 2025-12-09)Mar 4, 2026 · Advisor changed firm · fact
- Brendan Shea Bayron left Foundations Investment Advisors Llc for Rise North Capital Investment Advisors (registered 2025-12-09)Mar 4, 2026 · Advisor changed firm · fact
- Samuel Joshua Graff left Foundations Investment Advisors Llc for Rise North Capital Investment Advisors (registered 2025-12-09)Mar 4, 2026 · Advisor changed firm · fact
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
- 480-626-2979reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/FOUNDATIONS-INVESTMENT-ADVISORSreportedpublic record, Form ADV, Sep 17, 2026
- Website
- FIWEALTH.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 480-626-2979reportedpublic record, Form ADV, Sep 3, 2026
- Team page
- fiwealth.com/our-peoplereportedpublished by the firm, firm site, Sep 15, 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
- $33.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026