Foundations Investment Advisors Llc
SEC-registered
Wealth Manager · Large ($10B–$100B)
CRD 175083
· SEC file 801-100512
· Phoenix, AZ
· WWW.FIWEALTH.COM
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ADV data as of Jul 30, 2026
- Regulatory AUM
- $10.1B
- Discretionary
- $10.1B
- Clients
- 29,663
- Avg AUM / client
- $340K
- Accounts
- 63,604
- Employees
- 353
AUM over time
$289K
$10.1B
Jun 2015
Jul 2026
Annual snapshots from Form ADV filings · as of Jul 30, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 23,568 | $4.7B | 46.6% |
| High net worth individuals | 6,047 | $5.4B | 53.1% |
| Pension and profit sharing plans | 23 | $6.3M | 0.06% |
| Corporations and other businesses | 25 | $21.6M | 0.21% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Delta 401(k) Retirement Plan For Pilots Delta Air Lines, Inc. | 2024 |
People (297)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Rice, Bryon | Owner / Ceo | Mar 2015 (11y) | 75% or more | |
| Mann, Kyle, Michael | Chief Financial Officer | Dec 2018 (8y) | Less than 5% | |
| Florence, Jarrod, Dale | President | Feb 2022 (5y) | Less than 5% | |
| Reitan, Emily, Suzanne | Coo | Aug 2024 (2y) | Less than 5% | |
| Pugsley, Marc, James | Chief Compliance Officer | Nov 2024 (2y) | Less than 5% | |
| Ernest Anthony Baillargeon | Registered representative | Jun 2015 (11y) | ||
| Edward Friedel Kinsey | Registered representative | Aug 2015 (11y) | ||
| Bradley Paul Malia | Registered representative | Sep 2015 (11y) | ||
| Richard M Roethel | Registered representative | Oct 2015 (11y) | ||
| Richard John Pelletier | Registered representative | Dec 2015 (11y) | ||
| Lance Gilman | Registered representative | Jan 2016 (11y) | ||
| Peter Thomas Hanson | Registered representative | May 2016 (10y) | ||
| Christopher A Shelton | Registered representative | May 2016 (10y) | ||
| Jeffrey Michael Truchon | Registered representative | Oct 2016 (10y) | ||
| Marc Montini | Registered representative | Nov 2016 (10y) | ||
| Justin Francis Carlson | Registered representative | Dec 2016 (10y) | ||
| Susan Marguerite Mc Bournie | Registered representative | Feb 2017 (9y) | ||
| Matthew John Dunn | Registered representative | Feb 2017 (9y) | ||
| Martin Jacob Dolph | Registered representative | Feb 2017 (9y) | ||
| Francis Joseph Hebert | Registered representative | Mar 2017 (9y) | ||
| Kevin Earl Skaltsis | Registered representative | CFP | Jun 2017 (9y) | |
| Marcia Lynn Bernstein | Registered representative | Jun 2017 (9y) | ||
| Jeremy P Barnard | Registered representative | Jul 2017 (9y) | ||
| Jimmy Wayne Hagy | Registered representative | Jul 2017 (9y) | ||
| Craig Stephen Hebert | Registered representative | Sep 2017 (9y) | ||
| Daniel Richard Murphy | Registered representative | Dec 2017 (9y) | ||
| Stewart A Willis | Registered representative | Mar 2018 (8y) | ||
| Darren Lamare Lundy | Registered representative | May 2018 (8y) | ||
| Micheline A Dagher | Registered representative | May 2018 (8y) | ||
| Parker R Holland | Registered representative | Chartered Financial Consultant | Oct 2018 (8y) | |
| Peter Jose' D'arruda | Registered representative | Oct 2018 (8y) | ||
| June Marie Braithwaite | Registered representative | Oct 2018 (8y) | ||
| Ryan Allen Breedwell | Registered representative | Nov 2018 (8y) | ||
| Garry Lee Pakozdy | Registered representative | Dec 2018 (8y) | ||
| Alex B Perez | Registered representative | Jan 2019 (8y) | ||
| Josiah James Fricke | Registered representative | Feb 2019 (7y) | ||
| Connie Denise Densmore | Registered representative | Mar 2019 (7y) | ||
| Patrick Joseph Moriarty | Registered representative | May 2019 (7y) | ||
| Thad Gerard Wellshear | Registered representative | Jul 2019 (7y) | ||
| Joseph Georges Baaklini | Registered representative | Aug 2019 (7y) | ||
| Brian Paul Quaranta | Registered representative | Sep 2019 (7y) | ||
| Nathanial P Fort | Registered representative | Dec 2019 (7y) | ||
| Barbara Alison Traylor Smith | Registered representative | Chartered Financial Consultant | Jan 2020 (7y) | |
| Michael Todd Pugsley | Registered representative | CFP | Jan 2020 (7y) | |
| Maggie Louise Wenzelburger | Registered representative | Mar 2020 (6y) | ||
| Mark Alan Henry | Registered representative | May 2020 (6y) | ||
| Derek R Huot | Registered representative | Jun 2020 (6y) | ||
| Neil Joseph Mager | Registered representative | Jul 2020 (6y) | ||
| Matthew Allan Tucker | Registered representative | CFP | Aug 2020 (6y) | |
| Joshua Ryan Cooksey | Registered representative | Sep 2020 (6y) | ||
| James Morris Pollack | Registered representative | Oct 2020 (6y) | ||
| Joseph M Unger | Registered representative | Jan 2021 (6y) | ||
| Simon John Rogers | Registered representative | Jan 2021 (6y) | ||
| Martin Davis Hensley | Registered representative | Feb 2021 (5y) | ||
| Tyler M Washington | Registered representative | Feb 2021 (5y) | ||
| Lee Alexander Busto | Registered representative | Apr 2021 (5y) | ||
| Nicholas A Fyntrilakis | Registered representative | May 2021 (5y) | ||
| Casey Mac Kenzie Elkins | Registered representative | Jun 2021 (5y) | ||
| Mark A Stimpson | Registered representative | Jun 2021 (5y) | ||
| Donovan Arden Burnham | Registered representative | Jul 2021 (5y) | ||
| Austin James Porchelli | Registered representative | Aug 2021 (5y) | ||
| Gordon Jay Forgione | Registered representative | Aug 2021 (5y) | ||
| William Alan Tatro | Registered representative | Sep 2021 (5y) | ||
| John Bearl Harkins | Registered representative | Nov 2021 (5y) | ||
| Michael Andrew Diulus | Registered representative | Nov 2021 (5y) | ||
| Tanner Paul Horstmeyer | Registered representative | Jan 2022 (5y) | ||
| Timothy James Mc Dermott | Registered representative | Jan 2022 (5y) | ||
| Jonathan Paul Kirk | Registered representative | Feb 2022 (4y) | ||
| Julia Sky King | Registered representative | Mar 2022 (4y) | ||
| Benjamin A Fuchs | Registered representative | CFP | May 2022 (4y) | |
| Erick Alan Jimenez | Registered representative | May 2022 (4y) | ||
| Alyson Louise Huddleston | Registered representative | Jun 2022 (4y) | ||
| Gina Mazzadra | Registered representative | Jul 2022 (4y) | ||
| Dale Stephen Soutas | Registered representative | Sep 2022 (4y) | ||
| Joseph Duane Laswell | Registered representative | Sep 2022 (4y) | ||
| Benjamin David Heizer | Registered representative | Oct 2022 (4y) | ||
| Brandon Mahogany | Registered representative | Dec 2022 (4y) | ||
| Andrew Havemeyer Godfrey | Registered representative | Jan 2023 (4y) | ||
| Collin Mckenzie Stauffer | Registered representative | Jan 2023 (4y) | ||
| Matthew James Dages | Registered representative | Jan 2023 (4y) | ||
| Brittany Hagy | Registered representative | Feb 2023 (3y) | ||
| Derek Jay Colton | Registered representative | Mar 2023 (3y) | ||
| Kyle William Chapman | Registered representative | CFP | Mar 2023 (3y) | |
| Scott Roy Preble | Registered representative | Apr 2023 (3y) | ||
| Andrew Robert Perry | Registered representative | Apr 2023 (3y) | ||
| Sepehr Mehrad Hosseini | Registered representative | May 2023 (3y) | ||
| Scott David Winstead | Registered representative | May 2023 (3y) | ||
| Angela Marie Winstead | Registered representative | May 2023 (3y) | ||
| William Robert Voyles | Registered representative | Jun 2023 (3y) | ||
| Jeffrey D Stegge | Registered representative | Jun 2023 (3y) | ||
| Andrew Logan Henward | Registered representative | Jun 2023 (3y) | ||
| Timothy Ray Whisler | Registered representative | Jun 2023 (3y) | ||
| Summer Anne Roberts | Registered representative | Jun 2023 (3y) | ||
| Wyatt Broome | Registered representative | Jun 2023 (3y) | ||
| Joseph Pate | Registered representative | Jun 2023 (3y) | ||
| Coby David Culpepper | Registered representative | Jul 2023 (3y) | ||
| Caleb Thompson | Registered representative | CFP | Jul 2023 (3y) | |
| William Joseph Revoir | Registered representative | Aug 2023 (3y) | ||
| Ryan Kelly | Registered representative | Aug 2023 (3y) | ||
| Dominic Glasson | Registered representative | Aug 2023 (3y) | ||
| Jared Matthew Carlin | Registered representative | Aug 2023 (3y) | ||
| Matthew Carlin | Registered representative | Aug 2023 (3y) | ||
| Charles Russell Hammond | Registered representative | Sep 2023 (3y) | ||
| Kristina Grace Ping | Registered representative | Oct 2023 (3y) | ||
| William Theodore Beyer | Registered representative | Oct 2023 (3y) | ||
| Alex Cal | Registered representative | CFP | Oct 2023 (3y) | |
| Michael Kalman Fenster | Registered representative | Chartered Financial Consultant | Jan 2024 (3y) | |
| William Brandon Gonzales | Registered representative | Jan 2024 (3y) | ||
| Benjamin Richard Lewis | Registered representative | Feb 2024 (3y) | ||
| Byron Paul Jimmerson | Registered representative | Feb 2024 (3y) | ||
| Carol Marie Dewey | Registered representative | Feb 2024 (3y) | ||
| Dennis Matthew Breier | Registered representative | Feb 2024 (3y) | ||
| Nathan Faldmo | Registered representative | CFP | Feb 2024 (2y) | |
| Cameron Shawn Graham | Registered representative | Feb 2024 (2y) | ||
| Sylvia Yousif Matti | Registered representative | Mar 2024 (2y) | ||
| Thomas C Elder | Registered representative | CFP | Mar 2024 (2y) | |
| John David Miller | Registered representative | Apr 2024 (2y) | ||
| Joseph Walter Turek | Registered representative | CFP | Apr 2024 (2y) | |
| Kimberly Sue Strosnider | Registered representative | Chartered Financial Consultant | Apr 2024 (2y) | |
| Matthew Blake King | Registered representative | CFP | Apr 2024 (2y) | |
| Adam Robert Freund | Registered representative | May 2024 (2y) | ||
| Jordan Dean Main | Registered representative | May 2024 (2y) | ||
| James Gerard Huhn | Registered representative | May 2024 (2y) | ||
| James Douglas Tilley | Registered representative | May 2024 (2y) | ||
| Linda Marie Roberts | Registered representative | May 2024 (2y) | ||
| Benjamin Roman Dzialo | Registered representative | CFA | May 2024 (2y) | |
| Keith J Spengel | Registered representative | May 2024 (2y) | ||
| Daniel Robert Brown | Registered representative | Jun 2024 (2y) | ||
| Dustin Lewis Tait | Registered representative | Jun 2024 (2y) | ||
| Harley Eberhardt Shanklin | Registered representative | Jul 2024 (2y) | ||
| Richard David Williams | Registered representative | Jul 2024 (2y) | ||
| Joshua William Park | Registered representative | Jul 2024 (2y) | ||
| Glenn Patrick Cummings | Registered representative | Jul 2024 (2y) | ||
| Ryan Mcelroy Dillon | Registered representative | Aug 2024 (2y) | ||
| Jeremy David Lanteigne | Registered representative | Aug 2024 (2y) | ||
| David William Durham | Registered representative | Aug 2024 (2y) | ||
| Bobby Allan Futch | Registered representative | Sep 2024 (2y) | ||
| Gaetan Reginald Policard | Registered representative | Sep 2024 (2y) | ||
| Joseph Carmen Deitrich | Registered representative | Sep 2024 (2y) | ||
| Mark Harris Schlossenberg | Registered representative | Oct 2024 (2y) | ||
| Desirae Elizabeth Martinez | Registered representative | Oct 2024 (2y) | ||
| Emily Diane Arnold | Registered representative | Oct 2024 (2y) | ||
| Eric Peter White | Registered representative | Oct 2024 (2y) | ||
| Rhett Aaron West | Registered representative | Oct 2024 (2y) | ||
| Steven Robert Larsen | Registered representative | Oct 2024 (2y) | ||
| Dick Paul Schulz | Registered representative | Oct 2024 (2y) | ||
| Isaiah Gray Porter | Registered representative | Nov 2024 (2y) | ||
| Christopher Edward Price | Registered representative | Nov 2024 (2y) | ||
| Andrew Thomas Hansen | Registered representative | Nov 2024 (2y) | ||
| George Vincent Saljian | Registered representative | Nov 2024 (2y) | ||
| Paige Gavin Cunningham | Registered representative | Dec 2024 (2y) | ||
| Janice Huey Wong | Registered representative | Dec 2024 (2y) | ||
| Alexander Vander Henst Huerta | Registered representative | Dec 2024 (2y) | ||
| Joshua Paul Stander | Registered representative | Jan 2025 (2y) | ||
| Ian Adam Bradley | Registered representative | Jan 2025 (2y) | ||
| Mario Ray Barrera | Registered representative | Jan 2025 (2y) | ||
| Tammie Michelle Tirres | Registered representative | Jan 2025 (2y) | ||
| Wesley Hutchins Thoms | Registered representative | Jan 2025 (2y) | ||
| Brett Preston Tomlinson | Registered representative | CFP | Jan 2025 (2y) | |
| Philip Christian Bru | Registered representative | Jan 2025 (2y) | ||
| Yvette Barrera | Registered representative | Jan 2025 (2y) | ||
| Daniel J Andreotta | Registered representative | Jan 2025 (2y) | ||
| Erika James | Registered representative | Jan 2025 (2y) | ||
| Peter Chase Mason | Registered representative | CFP | Jan 2025 (2y) | |
| Rocky Cleo Monson | Registered representative | Jan 2025 (2y) | ||
| Christopher Arnold Owens | Registered representative | Jan 2025 (2y) | ||
| Ken David Obray | Registered representative | Feb 2025 (1y) | ||
| Kenneth Mc Kenzie | Registered representative | Feb 2025 (1y) | ||
| Brian Gregory Scott | Registered representative | Mar 2025 (1y) | ||
| George Eugene Washington | Registered representative | Mar 2025 (1y) | ||
| Bradley Campbell Barclay | Registered representative | Mar 2025 (1y) | ||
| Thomas Derenzis | Registered representative | Mar 2025 (1y) | ||
| Michael C Henkes | Registered representative | Apr 2025 (1y) | ||
| Bart W Gernandt | Registered representative | Apr 2025 (1y) | ||
| William Douglas Gerlach | Registered representative | Apr 2025 (1y) | ||
| Brandon Michael Wilson | Registered representative | CFP Chartered Financial Consultant | Apr 2025 (1y) | |
| Carl Edward Stryker | Registered representative | Apr 2025 (1y) | ||
| Jose Julian Cao Alvira | Registered representative | CFP | May 2025 (1y) | |
| Michael Henry Ryan | Registered representative | May 2025 (1y) | ||
| Martin Scott Rasmussen | Registered representative | CFP | May 2025 (1y) | |
| Nickolas Bortells | Registered representative | May 2025 (1y) | ||
| Scott Stafford Mclean | Registered representative | May 2025 (1y) | ||
| Sherri Lynn Over | Registered representative | May 2025 (1y) | ||
| Douglas David Horne | Registered representative | May 2025 (1y) | ||
| George Kastanis | Registered representative | CFP | Jun 2025 (1y) | |
| Christopher Zollo | Registered representative | Jun 2025 (1y) | ||
| Ronald Anthony Sieber | Registered representative | Jun 2025 (1y) | ||
| Emile Paul Dufrene | Registered representative | Jun 2025 (1y) | ||
| James Pati | Registered representative | Jun 2025 (1y) | ||
| Edward Michael Botelho | Registered representative | Jun 2025 (1y) | ||
| Sean Richard Sparkman | Registered representative | Jun 2025 (1y) | ||
| Trent Patrick Martin | Registered representative | Jul 2025 (1y) | ||
| Christian Valle | Registered representative | Jul 2025 (1y) | ||
| Randy Dominic Jaramillo | Registered representative | Jul 2025 (1y) | ||
| Luke Constantakis | Registered representative | Jul 2025 (1y) | ||
| Augustus Skinner | Registered representative | Aug 2025 (1y) | ||
| Steve O'flynn | Registered representative | Aug 2025 (1y) | ||
| Brogan Chet Walters | Registered representative | CFP | Aug 2025 (1y) | |
| Machi Douglas Horne | Registered representative | Aug 2025 (1y) | ||
| Lora Kay Rolin | Registered representative | Sep 2025 (1y) | ||
| Jared Breedwell | Registered representative | Sep 2025 (1y) | ||
| Michael P Schessler | Registered representative | Sep 2025 (1y) | ||
| Michael Fierk | Registered representative | Sep 2025 (1y) | ||
| Joshua Ryan Driskill | Registered representative | Sep 2025 (1y) | ||
| Andrew Ogle | Registered representative | Sep 2025 (1y) | ||
| Galen Duane Bargerstock | Registered representative | Sep 2025 (1y) | ||
| Brendan P. Kelly | Registered representative | CFP | Sep 2025 (1y) | |
| Donald Fruehauf Chamberlin | Registered representative | CFP | Sep 2025 (1y) | |
| Giovanni Thomas Ferrara | Registered representative | Sep 2025 (1y) | ||
| Michael Ryan Cunningham | Registered representative | Sep 2025 (1y) | ||
| Scott Christopher Nolen | Registered representative | Sep 2025 (1y) | ||
| Thomas Joseph Ponce | Registered representative | Sep 2025 (1y) | ||
| Donald Fruehauf Chamberlin | Registered representative | Sep 2025 (1y) | ||
| Aaron Joseph Gravel | Registered representative | Sep 2025 (1y) | ||
| Jerod Luke Bland | Registered representative | Sep 2025 (1y) | ||
| Jeremiah Stephen Skaggs | Registered representative | Sep 2025 (1y) | ||
| Colton Green | Registered representative | Oct 2025 (1y) | ||
| Blake Alexander Dixon | Registered representative | Oct 2025 (1y) | ||
| Gerald Brooks | Registered representative | Oct 2025 (1y) | ||
| Carston Cole Cook | Registered representative | CFP | Oct 2025 (1y) | |
| Craig Bennett Roth | Registered representative | Oct 2025 (1y) | ||
| Ross Ian Phillips | Registered representative | Oct 2025 (1y) | ||
| Tyler James Bosch | Registered representative | Oct 2025 (1y) | ||
| Jake Richard Johnson | Registered representative | CFP | Oct 2025 (1y) | |
| Nicholas Berendt Rothrock | Registered representative | Oct 2025 (1y) | ||
| Joseph Arthur Anderson | Registered representative | Nov 2025 (1y) | ||
| Scott Andrew Hefty | Registered representative | CFP Chartered Financial Consultant | Nov 2025 (1y) | |
| Zachary Bram Poitra | Registered representative | Nov 2025 (1y) | ||
| Larry Gene Mccabe | Registered representative | Nov 2025 (1y) | ||
| Jessup Raymond White | Registered representative | Nov 2025 (1y) | ||
| Wendy Jane Fredricks | Registered representative | Nov 2025 (1y) | ||
| William W Perham | Registered representative | Nov 2025 (1y) | ||
| Dino Berri | Registered representative | Nov 2025 (1y) | ||
| Thomas Michalowski | Registered representative | Nov 2025 (1y) | ||
| Birds Kyle Horton | Registered representative | Dec 2025 (1y) | ||
| Ethan Samuels | Registered representative | Dec 2025 (1y) | ||
| Terek Wilson | Registered representative | Dec 2025 (1y) | ||
| Ivan Russell Thornberry | Registered representative | Dec 2025 (1y) | ||
| Dallin Todd Schwendiman | Registered representative | Dec 2025 (1y) | ||
| Fred Todd Schwendiman | Registered representative | Dec 2025 (1y) | ||
| Zeid Akeem Muhammad | Registered representative | Jan 2026 (1y) | ||
| Ryan Nowotny | Registered representative | Jan 2026 (1y) | ||
| Brian Scott Tepper | Registered representative | Jan 2026 (1y) | ||
| Richard Allen Breedwell | Registered representative | Jan 2026 (1y) | ||
| Tyler Nowotny | Registered representative | Jan 2026 (1y) | ||
| Jeffrey Laurence Perry | Registered representative | Jan 2026 (1y) | ||
| Tyler Melville Jordan Taylor | Registered representative | Jan 2026 (1y) | ||
| Anthony Aaron Wright | Registered representative | Jan 2026 (1y) | ||
| Alma Dan Frandsen | Registered representative | Jan 2026 (1y) | ||
| Adam William Turek | Registered representative | Jan 2026 (1y) | ||
| David Michael Lee | Registered representative | Jan 2026 (1y) | ||
| Andrew Cavasino | Registered representative | Jan 2026 (1y) | ||
| Tyler Alan Miller | Registered representative | Jan 2026 (1y) | ||
| Josef Visinski | Registered representative | Jan 2026 (1y) | ||
| Brandon Gerfen | Registered representative | Jan 2026 (1y) | ||
| Nathan Lehnerz | Registered representative | CFP | Feb 2026 (0y) | |
| Eric Brown | Registered representative | Feb 2026 (0y) | ||
| Steven Keith Shaw | Registered representative | CFP | Feb 2026 (0y) | |
| Marcel John Kelley | Registered representative | Feb 2026 (0y) | ||
| Joseph Julian Quijano | Registered representative | CFP | Feb 2026 (0y) | |
| Anthony Dages | Registered representative | Feb 2026 (0y) | ||
| Cameron Dale Edmiston | Registered representative | Feb 2026 (0y) | ||
| Scott Laray Enzor | Registered representative | Feb 2026 (0y) | ||
| Nora Kaye Hans | Registered representative | Feb 2026 (0y) | ||
| Mohsen Khodaverdi | Registered representative | Feb 2026 (0y) | ||
| David Aaron Kutcher | Registered representative | Feb 2026 (0y) | ||
| Andrew Conley Kinder | Registered representative | CFP Chartered Financial Consultant | Mar 2026 (0y) | |
| Nicholas Lyne Naccarato | Registered representative | Mar 2026 (0y) | ||
| Gregory Scott Harrison | Registered representative | Apr 2026 (0y) | ||
| Colton Lee Garcia | Registered representative | Apr 2026 (0y) | ||
| Daniel Taylor | Registered representative | May 2026 (0y) | ||
| Andrew Garrett Kirkland | Registered representative | May 2026 (0y) | ||
| Jason Lawrence Fowler | Registered representative | May 2026 (0y) | ||
| Brennan Robert Hammer | Registered representative | May 2026 (0y) | ||
| Eric Michael Meyer | Registered representative | May 2026 (0y) | ||
| Ralph Lloyd Gale | Registered representative | May 2026 (0y) | ||
| Brian Joseph Merrigan | Registered representative | May 2026 (0y) | ||
| Jonathan Mafrice | Registered representative | May 2026 (0y) | ||
| Ricardo Odayne Alliman | Registered representative | May 2026 (0y) | ||
| Nathan David Smith | Registered representative | Jun 2026 (0y) | ||
| Ronald Henry Somers | Registered representative | Jun 2026 (0y) | ||
| Danielle Denise Goebel | Registered representative | Jun 2026 (0y) | ||
| Misty Hebert Detiveaux | Registered representative | Jun 2026 (0y) | ||
| Charles Thomas Mc Glinn | Registered representative | Jun 2026 (0y) | ||
| Dexter Irvin Pierce | Registered representative | Jun 2026 (0y) | ||
| Joseph Tigani | Registered representative | Jun 2026 (0y) | ||
| Lacey Thompson Krul | Registered representative | Jun 2026 (0y) | ||
| Brandon Holland | Registered representative | Jun 2026 (0y) | ||
| Cole David Batchelor | Registered representative | Jul 2026 (0y) | ||
| Dane Carpenter Spencer | Registered representative | CFP | Jul 2026 (0y) | |
| Jerry Lee Sylvester | Registered representative | Jul 2026 (0y) | ||
| Clarence James Collins | Registered representative | Jul 2026 (0y) | ||
| Matthew Raymond Hisey | Registered representative | Jul 2026 (0y) | ||
| Wendy Joan Nicholson | Registered representative | Jul 2026 (0y) | ||
| Scott A Mizenko | Registered representative | Jul 2026 (0y) | ||
| Christopher Le Roy Williams | Registered representative | Jul 2026 (0y) | ||
| Ryan Elliott Hanninen | Registered representative | Jul 2026 (0y) |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Retirement plans served (1)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Delta 401(k) Retirement Plan For Pilots | Delta Air Lines, Inc. | 14,981 | $15.9B | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 06/12/2026 | 2.35 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Selection of other advisers
- • Educational seminars/workshops
Custody
Reported custodians
- Charles Schwab & Co. $8.0B (79% of AUM) Jun 2026
- Fidelity Institutional $2.0B (20% of AUM) Jun 2026
- Jefferson Nation $283K (0% of AUM) Jun 2019
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Jul 30, 2026.
View current Form ADV (SEC/IAPD) ↗