Wealth manager, independent · Phoenix, AZ
Foundations Investment Advisors LLC
SEC-registered investment adviser · CRD 175083 · SEC 801-100512
At a glance
Foundations Investment Advisors LLC is an SEC-registered investment adviser based in Phoenix, Arizona, with $10B in regulatory assets under management as of its Form ADV filed September 23, 2026. It reports 29,615 individual clients, 6,047 of them high-net-worth, holding an average of about $0.3 million each, and 353 employees. That ranks it 97th among the nation’s 5,657 independent wealth management RIAs and 1st of 125 in Arizona. It reports 2 custodians for its clients’ separately managed accounts: Charles Schwab and Fidelity.
Main office 480-626-2979fiwealth.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $10B
- Rank among independent wealth managers
- #97 of 5,657
- Rank among all SEC RIAs
- #1,362 of 17,210
- Rank in Arizona
- #1 of 125
- Individual clients
- 29,615
- High-net-worth clients
- 6,047
- Accounts
- 63,604
- Discretionary
- 100% of AUM
- Employees
- 353
- Advisory staff
- 289
- Offices
- 86
Owners and executives on its Form ADV
- Kyle M. MannChief Financial Officer
- Jarrod D. FlorencePresident
- Marc J. PugsleyChief Compliance Officer
- Joshua R. CookseyCOO
- Kyle M. MannCEO
Custody and brokerage
Broker-dealer
No broker-dealer ties
Foundations Investment Advisors LLC reports no employees registered with a broker-dealer and no affiliated broker-dealer.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 6,047 | $5.4B | 53% |
| Individuals | 23,568 | $4.7B | 47% |
| Corporations or other businesses | 25 | $22M | <1% |
| Pension and profit sharing plans | 23 | $6M | <1% |
Disciplinary disclosures
Foundations Investment Advisors LLC answers yes to 13 disclosure items in Item 11 of Form ADV (criminal, regulatory or civil matters involving the firm or its advisory affiliates). Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
- Selecting other advisers
- Educational seminars and workshops
How it’s paid
- A percentage of assets under management
- Hourly charges
- Fixed fees
Form ADV and brochures on the SEC’s adviser search ↗fiwealth.com ↗
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Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, ten years of filings
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- Growth over one, three and five years
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- Rank against 399 peers of its type and size
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- Owners and executives, with titles and stakes
- 5 namedLocked
- Main office, fax and compliance officer
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- Filing changes this year, with alerts
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Similar-size RIAs in Arizona
All of Arizona →| Firm | Regulatory AUM | Clients |
|---|---|---|
| Ashton Thomas Private WealthScottsdale | $6.0B | 3,181 |
| DynamicPhoenix | $5.6B | 5,509 |
| TCI Wealth Advisors, Inc.Tucson | $5.4B | 3,189 |
| TFO Family Office PartnersPhoenix | $5.0B | 245 |
| Stoker Ostler, A Part of BMO Financial GroupScottsdale | $3.7B | 1,579 |
| PFG AdvisorsPhoenix | $3.3B | 7,527 |
Compare Foundations Investment Advisors LLC with
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- Foundations Investment Advisors LLC vs Fiduciary Counselling Inc $10B · St Paul, MN
- Foundations Investment Advisors LLC vs Ashton Thomas Private Wealth $6.0B · Scottsdale, AZ
Background
Questions
How much does Foundations Investment Advisors LLC manage?
Foundations Investment Advisors LLC reports $10B in regulatory assets under management across 63,604 accounts, 100% of it on a discretionary basis, on its Form ADV filed September 23, 2026.
How many clients does Foundations Investment Advisors LLC have?
It reports 29,615 individual clients: 6,047 high-net-worth individuals and 23,568 other individuals. Individuals account for about 100% of its regulatory assets.
Where is Foundations Investment Advisors LLC headquartered?
Its main office is in Phoenix, Arizona. It reports 86 offices in total and 353 employees, 289 of whom perform investment advisory functions.
How does Foundations Investment Advisors LLC charge clients?
On Form ADV it lists these forms of compensation: a percentage of assets under management; hourly charges; fixed fees. Fees and minimums are set out in its Form ADV Part 2A brochure, available on the SEC’s adviser search.
What custodian does Foundations Investment Advisors LLC use?
It reports 2 custodians for its clients’ separately managed accounts: Charles Schwab and Fidelity. On Schedule D of its Form ADV filed September 23, 2026, it reports these amounts held: Charles Schwab ($8.0B); Fidelity ($2.0B). Form ADV lists only custodians holding 10% or more of separately managed account assets.
Is Foundations Investment Advisors LLC a hybrid RIA with a broker-dealer?
Foundations Investment Advisors LLC reports no employees registered with a broker-dealer and no affiliated broker-dealer.
Is Foundations Investment Advisors LLC a fiduciary?
As an SEC-registered investment adviser, Foundations Investment Advisors LLC owes its advisory clients a fiduciary duty under the Investment Advisers Act of 1940, which includes duties of care and loyalty. It reports no employees who are registered representatives of a broker-dealer.
Where these numbers come from
Every figure is Foundations Investment Advisors LLC’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-09-23), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Its national rank compares it with every US-based independent wealth management RIA, the same field as The Largest RIAs. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →