Foundations Investment Advisors LLC

Registered investment adviser · Phoenix, AZ · CRD #175083

Form ADV data as of 2026-09-01

Regulatory assets

$10.10 billion

Total accounts

63,604

Employees

353

Disclosure events

Firm details

Website: http://www.fiwealth.com
Telephone: 480-626-2979
SEC file number: 801-100512
Most recent Form ADV filing: 2026-07-30
SEC record: View this firm on the SEC's IAPD site

Disciplinary disclosures

This firm reports 9 disclosure questions answered Yes, covering 13 reported events. Form ADV Item 11 covers charges and pending proceedings as well as findings, so a Yes answer is not itself a finding of wrongdoing. The underlying detail is filed with the SEC.

SEC or CFTC found a violation of its regulations or statutes
SEC or CFTC entered an order in connection with investment-related activity
SEC or CFTC imposed a civil money penalty or a cease-and-desist order
Another regulator found a violation of investment-related regulations or statutes
Another regulator entered an order in connection with investment-related activity (past 10 years)
Another regulator denied, suspended, or revoked a registration or restricted activity
A self-regulatory organization found a violation of its rules
A self-regulatory organization expelled, suspended, barred, or restricted the firm
Currently subject to a civil proceeding that could result in a disclosure under 11.H.(1)

Assets and accounts

Provides continuous and regular supervisory or management services	Yes
Discretionary regulatory assets under management	$10.10 billion
Non-discretionary regulatory assets under management	$0
Total regulatory assets under management	$10.10 billion
Discretionary accounts	63,604
Non-discretionary accounts	0
Total accounts	63,604
Regulatory assets under management attributable to non-U.S. persons	$0

People

Total employees (excluding clerical)	353
Employees performing investment advisory functions (including research)	289
Employees who are registered representatives of a broker-dealer	0
Employees registered as investment adviser representatives with a state	289
Employees registered as IARs for another investment adviser	11
Employees who are licensed insurance agents	289
Firms or persons who solicit advisory clients on the firm's behalf	0

Custody

Has custody of client cash or bank accounts	Yes
Has custody of client securities	Yes
Client funds and securities held in the firm's custody	$212.3 million
Clients for whom the firm has custody	2,718
A related person has custody of client cash or bank accounts	No
A related person has custody of client securities	No
The firm acts as a qualified custodian	No
A related person acts as a qualified custodian	No
Number of persons acting as qualified custodians for the firm's clients	5

How the firm is compensated

A percentage of assets under managementHourly chargesFixed fees (other than subscription fees)

Advisory services offered

Financial planning servicesPortfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers)Educational seminars/workshops

Affiliated related persons

Other investment adviser (including financial planners)Lawyer or law firmInsurance company or agency

Reported conflicts of interest

Form ADV Items 8 asks advisers to disclose arrangements that may create a conflict with client interests. This firm answered Yes to:

Buys or sells for itself securities it also recommends to clients
Recommends brokers or dealers to clients
Compensates a non-employee for client referrals

Client types

Type of client	Clients	Assets
Individuals (other than high net worth individuals)	23,568	$4.71 billion
High net worth individuals	6,047	$5.36 billion
Pension and profit sharing plans (not the participants or government plans)	23	$6.3 million
Corporations or other businesses not listed above	25	$21.6 million