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FOUNDERS FINANCIAL ALLIANCE, LLC

RALEIGH, NC · CRD 173011 · IAPD ↗ · foundersfinancialalliance.com · 855-860-5940

$1.19BRegulatory AUM
31Advisory reps
31Employees
1Clients
1-10Planning clients
0Private funds
30States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

55
April 2025 — FOUNDERS FINANCIAL ALLIANCE, LLC added office(s): 15 -> 17 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
85
April 2025 — FOUNDERS FINANCIAL ALLIANCE, LLC crossed $1B in regulatory AUM ($700.9M -> $1.00B).
Regulatory AUM crossed $1B. Large-adviser status changes what they need and can afford.
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
53
November 2024 — FOUNDERS FINANCIAL ALLIANCE, LLC added office(s): 14 -> 15 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
49
April 2024 — FOUNDERS FINANCIAL ALLIANCE, LLC notice-filed in KY, MI, MN.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
53
April 2024 — FOUNDERS FINANCIAL ALLIANCE, LLC added office(s): 13 -> 14 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
61
April 2024 — FOUNDERS FINANCIAL ALLIANCE, LLC reports 1-10 financial-planning clients, up from 0.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.