Foundations Investment Advisors LLC
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Overview
Foundations Investment Advisors LLC is located at 4050 E. Cotton Center Blvd., Phoenix, AZ. The firm employs 187 financial advisors to manage client portfolios and provide financial guidance. Foundations Investment Advisors LLC is not a registered broker-dealer.
Foundations Investment Advisors LLC oversees $5.4 billion in assets under management across 42,079 accounts, of which 41,541 are discretionary and 538 are non-discretionary. Over the past year, the firm has provided financial planning services to between 101 and 250 clients. The services offered include financial planning services, portfolio management for individuals and small businesses, selection of other advisers, and educational seminars. The firm caters to retail investors, high net worth investors, charitable organizations, and corporations, with retail investors being the largest client type by accounts. The fee structure at Foundations Investment Advisors LLC includes asset-based, hourly, and fixed fees. The firm has 3,242 high net worth clients and maintains affiliations with a broker-dealer or securities dealer, a lawyer or law firm, and an insurance company or agency.
Foundations Investment Advisors LLC is registered in the states of Alabama, Alaska, Arizona, Arkansas, California, Colorado, Connecticut, Delaware, District of Columbia, Florida, Georgia, Hawaii, Idaho, Illinois, Indiana, Iowa, Kansas, Kentucky, Louisiana, Maine, Maryland, Massachusetts, Michigan, Minnesota, Mississippi, Missouri, Montana, Nebraska, Nevada, New Hampshire, New Jersey, New Mexico, New York, North Carolina, North Dakota, Ohio, Oklahoma, Oregon, Pennsylvania, Rhode Island, South Carolina, South Dakota, Tennessee, Texas, Utah, Vermont, Virginia, Washington, West Virginia, Wisconsin, and Wyoming.
Assets Under Management
Number of Advisors
Disclosures
Office Location
Foundations Investment Advisors LLC by the Numbers
$5.4 billion
240
42,079
$129.3 thousand
Products and Services
Foundations Investment Advisors LLC provides a variety of services, which can include financial planning services, portfolio management for individuals and small businesses, selection of other advisers, and educational seminars. In the prior financial year, Foundations Investment Advisors LLC provided 101-250 of its accounts with financial planning services. The Company is not involved in selling products or offering services other than investment advisory services to its investment advisory customers.
Core Advisor Services
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Offered by 31% of firms
Financial Planning Services
This is the process of planning for your financial future, including for events such as retirement, your child's college education or estate succession.
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Offered by 46% of firms
Portfolio Management
This is the selection and management of an investment mix and portfolio strategy for individuals and small businesses.
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Find a firm that offers this service
Market Timing Services
This is the practice of attempting to make short-term profits on investments by buying low and selling high.
Other Services
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Offered by 20% of firms
Selection of Other Advisors
This is the firm's assistance with choosing other advisors to work with who may have different specialties.
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Publication of Periodicals
This is the publication of various financial education materials.
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Offered by 6% of firms
Educational Seminars/Workshops
This is the hosting of seminars or workshops to educate investors on financial concepts.
Fee Structure
A financial advisor's fees largely are based on which service is provided. Fees billed by Foundations Investment Advisors LLC can consist of any blend of the following fee structures: asset-based, hourly, or fixed.
Available
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Offered by 69% of firms
Percentage of Assets
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Offered by 21% of firms
Hourly
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Offered by 32% of firms
Fixed
Unavailable
Types of Clients
The company caters to retail investors, high net worth investors, charitable organizations, and corporations. Out of its 4 clients, Foundations Investment Advisors LLC's biggest client type by number of accounts is retail investors, although it also caters to 3242 high-net-worth individuals. The SEC defines a high-net-worth individual as someone who has at least $750,000 in AUM or a net worth of at least $1,50 million or who is deemed a "qualified purchaser" (a standard met by having at least $5 million in investments).
- High-Net-Worth Individuals* - 15.53%
- Other Individuals - 84.41%
- Corporations - 0.06%
- Charitable Organizations - 0%
* The U.S. Securities and Exchange Commission (SEC) defines a high-net-worth individual as someone who has at least $750,000 under management.
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Disclosures
Foundations Investment Advisors LLC does not have any disclosures.
Please visit its Form ADV for more details.
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Financial Advisors at Foundations Investment Advisors LLC
Thousand Oaks, CA
Phoenix, AZ
Phoenix, AZ
Bayville, NY
Thomas, KY
Saint George, UT
Phoenix, AZ
West Springfield, MA
Phoenix, AZ
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