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FOUNDATIONS INVESTMENT ADVISORS LLC

PHOENIX, AZ · CRD 175083 · IAPD ↗ · fiwealth.com · 480-626-2979

$10.10BRegulatory AUM
289Advisory reps
353Employees
0Clients
251-500Planning clients
0Private funds
52States
13Disclosures
wealthSegment
ApprovedSEC status

Filing changes

55
July 2026 — FOUNDATIONS INVESTMENT ADVISORS LLC's Item 11 disclosure-reporting entries rose by 2 (11 -> 13).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
55
April 2026 — FOUNDATIONS INVESTMENT ADVISORS LLC's Item 11 disclosure-reporting entries rose by 3 (8 -> 11).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
68
April 2026 — FOUNDATIONS INVESTMENT ADVISORS LLC reported RAUM up 41% ($7.18B -> $10.10B).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
85
April 2026 — FOUNDATIONS INVESTMENT ADVISORS LLC grew from 229 to 289 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
55
May 2025 — FOUNDATIONS INVESTMENT ADVISORS LLC's Item 11 disclosure-reporting entries rose by 2 (6 -> 8).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
47
April 2025 — FOUNDATIONS INVESTMENT ADVISORS LLC notice-filed in PR.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
55
April 2025 — FOUNDATIONS INVESTMENT ADVISORS LLC's Item 11 disclosure-reporting entries rose by 2 (4 -> 6).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
63
April 2025 — FOUNDATIONS INVESTMENT ADVISORS LLC reports 251-500 financial-planning clients, up from 101-250.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
85
April 2025 — FOUNDATIONS INVESTMENT ADVISORS LLC grew from 187 to 229 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
55
November 2024 — FOUNDATIONS INVESTMENT ADVISORS LLC's Item 11 disclosure-reporting entries rose by 2 (2 -> 4).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
75
April 2024 — FOUNDATIONS INVESTMENT ADVISORS LLC grew from 182 to 187 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software

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