AdvisorRanked
71
Some Concerns

FOUNDATIONS INVESTMENT ADVISORS LLC

4050 E. COTTON CENTER BLVD., PHOENIX, AZ 85040
Fiduciaryfee-onlySEC Registered
480-626-2979 HTTP://WWW.FIWEALTH.COM CRD #175083
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$10.1B
Assets Managed
289
Clients
353
Employees
11
Years Active
since 2015

Compensation Model

% of Assets (AUM)
Hourly Fees
Fixed / Flat Fees
Commissions
Performance Fees

Compensation type disclosed on SEC Form ADV Item 5C. Filed 46108. Specific fee percentages are available in this firm's Form ADV Part 2A brochure at adviserinfo.sec.gov.

Conflict of Interest Analysis

Broker-Dealer Affiliated: No

No broker-dealer affiliation. Lower risk of commission-driven advice.

Insurance Licensed: No

Not insurance licensed. Cannot sell you annuity or insurance products directly.

Custody of Client Assets: Yes

This firm has direct custody of client assets, rather than using an independent custodian. This is a higher-risk arrangement that requires additional regulatory safeguards.

Proprietary Products: No

Uses only third-party investment products. No proprietary product conflicts.

Regulatory & Disciplinary History

complaint46108

3 customer complaint(s)/arbitration(s) disclosed on Form ADV Item 11.

Resolved

Total complaints on record: 3

Complaint ratio: 1.04 per 100 clients

Industry average is approximately 0.15 complaints per 100 clients. A ratio above 0.30 is considered elevated.

Firm Details

Legal NameFOUNDATIONS INVESTMENT ADVISORS LLC
CRD Number#175083
SEC RegisteredYes
Registration Date2015-07-13
States RegisteredAZ
Assets Under Management$10.1B
Number of Clients289
Employees353
Compensation Typefee-only
Last ADV Filing46108

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Frequently Asked Questions

Is FOUNDATIONS INVESTMENT ADVISORS LLC a fiduciary?

Yes. FOUNDATIONS INVESTMENT ADVISORS LLC is a registered investment adviser (RIA) with the SEC, which means they are legally required to act as a fiduciary — putting your interests ahead of their own.

How does FOUNDATIONS INVESTMENT ADVISORS LLC charge clients?

FOUNDATIONS INVESTMENT ADVISORS LLC uses a fee-only compensation model. Full fee details are in their Form ADV Part 2A brochure at adviserinfo.sec.gov.

Does FOUNDATIONS INVESTMENT ADVISORS LLC have any complaints?

Yes. FOUNDATIONS INVESTMENT ADVISORS LLC has 3 complaint(s) on record. Their complaint ratio is 1.04 per 100 clients (industry average: ~0.15).

How does FOUNDATIONS INVESTMENT ADVISORS LLC compare to other advisors in PHOENIX?

FOUNDATIONS INVESTMENT ADVISORS LLC has a Red Flag Score of 71/100. There are 35 registered advisory firms in PHOENIX. Use our city page to compare firms side by side.

Where does this data come from?

All information is sourced from SEC Form ADV public filings (mandatory regulatory disclosures) and FINRA BrokerCheck records. Last updated: 2026-06-24. We do not accept payment from financial advisors.

Data source: SEC Form ADV (Parts 1 and 2A) filed with the Investment Adviser Registration Depository (IARD). Filing date: 46108. Last data refresh: 2026-06-24. AdvisorRanked does not verify the accuracy of SEC filings. This is not financial advice.