FOUNDATIONS INVESTMENT ADVISORS, LLC

HTTP://WWW.FIWEALTH.COM SCOTTSDALE, AZ Investment Advisor How do I update this listing?

Foundations Investment Advisors is based out of Scottsdale. Foundations Investment Advisors is a large advisory firm with 4553 clients and discretionary assets under management (AUM) of $743,755,591 (Form ADV from 2019-06-28). Their last reported 13F filing for Q3 2019 included $762,644,000 in managed 13F securities and a top 10 holdings concentration of 64.17%. Foundations Investment Advisors's largest holding is iShares iBoxx Investment Grade Corporate Bond Fund with shares held of 500,220. Whalewisdom has at least 6 13F filings

Download 13F Summary to Excel Create Email Alert

09/30/2019

13F Sector Allocation Over Time

09/30/2019

13F Activity

  • Market Value $762.644 Million
  • Prior Market Value $665.773 Million
  • New Purchases19 stocks
  • Additional Purchases99 stocks
  • Sold out of9 stocks
  • Reduced holdings in9 stocks
  • Top 10 Holdings % 64.17 %
  • Turnover % [1]:21.71%
  • Turnover Alt % [2]: 25.93 %
  • Time Held Top20:1.55 quarters
  • Time Held Top10:1.20 quarters
  • Time Held All:2.90 quarters

[1]: Turnover is calculated by taking the # of new holdings (initial purchases) + the # of positions sold out of (not just reduced) divided by the total # of holdings for the quarter.

[2]: Alt Turnover is calculated by taking either the total MV of new purchases or the MV of securities sold, whichever is less, divided by the total MV of the fund.

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2019-08-14

Performance for Q2 2019: 1.82%
Performance Last 4 Quarters: 1.84%
Performance Metrics
Stats are not available for the latest quarter

Refresh Advanced Export Download CSV Download Excel (.xlsx) Download TSV
Filter by:

Security Types:

Refresh
*Shares are split adjusted
Click here to report any possible errors with this listing.
13F Filings Available:
  • 2019-09-30 - 13F-HR (Subscription required)
  • 2019-06-30 - 13F-HR (Subscription required)
  • 2019-03-31 - 13F-HR (Subscription required)
  • 2018-12-31 - 13F-HR (Subscription required)
  • 2018-09-30 - 13F-HR (Subscription required)
  • 2018-06-30 - 13F-HR (Subscription required)

View Last Form Adv Compilation Report on Record

FOUNDATIONS INVESTMENT ADVISORS LLC
10575 N. 114TH STREET SUITE 107
SCOTTSDALE AZ    85259
Country: United States

Business Phone: 480-626-2979
Fax: 480-747-9661
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Limited Liability Company
Organized in: AZ
Number of employees: 116
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management,Hourly charges,Fixed fees
Amount of client funds and securities: 386,607,000
Total Number of Clients: 4553
Amount of client funds and securities by related persons:
Total Number of clients from related persons:
Disclosures:
Data above was derived from SEC filings.

Active Schedule 13D and 13G events

Sign in to see

Form 4 - Recent Insider Transactions

Loading...

FOUNDATIONS INVESTMENT ADVISORS LLC

ownership team - last updated 2019-06-28
Name Title Start Date Direct/Indirect % Ownership
RICE, BRYON OWNER / CEO 03/01/2015 Direct 75% or more
Fund Name Position direct/indirect start date end date
FOUNDATIONS INVESTMENT ADVISORS LLC PARTNER direct 2015-03-01
C'DEBACA, ERNEST, JOHN CCO & CLO 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
DIRECTED SERVICES LLC SENIOR VICE PRESIDENT, INVESTMENT ADVISOR CHIEF COMPLIANCE OFFICER direct 2008-07-01
ALETHEIA RESEARCH AND MANAGEMENT INC CHIEF COMPLIANCE OFFICER direct 2010-02-01
ING INVESTMENTS, LLC SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER direct 2008-07-01
MANN, KYLE, MICHAEL CHIEF FINANCIAL OFFICER 12/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
FOUNDATIONS INVESTMENT ADVISORS LLC CHIEF COMPLIANCE OFFICER direct 2016-09-01
biagini, daniel, clifford CHIEF DISTRIBUTION OFFICER 06/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
FOUNDATIONS INVESTMENT ADVISORS LLC CHIEF DISTRIBUTION OFFICER direct 2019-06-01

FOUNDATIONS INVESTMENT ADVISORS LLC

ownership team - last updated 2019-02-06
Name Title Start Date Direct/Indirect % Ownership
RICE, BRYON OWNER / CEO 03/01/2015 Direct 75% or more
Fund Name Position direct/indirect start date end date
FOUNDATIONS INVESTMENT ADVISORS LLC PARTNER direct 2015-03-01
C'DEBACA, ERNEST, JOHN CCO & CLO 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
DIRECTED SERVICES LLC SENIOR VICE PRESIDENT, INVESTMENT ADVISOR CHIEF COMPLIANCE OFFICER direct 2008-07-01
ALETHEIA RESEARCH AND MANAGEMENT INC CHIEF COMPLIANCE OFFICER direct 2010-02-01
ING INVESTMENTS, LLC SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER direct 2008-07-01
WHELESS, DANIEL, RYAN PRESIDENT 12/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
RETIREMENT WEALTH ADVISORS, INC. PRESIDENT direct 2016-06-01
FORMULA FOLIO INVESTMENTS, LLC PRESIDENT direct 2016-06-01
MANN, KYLE, MICHAEL CHIEF FINANCIAL OFFICER 12/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
FOUNDATIONS INVESTMENT ADVISORS LLC CHIEF COMPLIANCE OFFICER direct 2016-09-01

FOUNDATIONS INVESTMENT ADVISORS LLC

ownership team - last updated 2018-05-04
Name Title Start Date Direct/Indirect % Ownership
JUNIOR, JEFFREY, BRENT PARTNER 03/01/2015 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
TRAJAN WEALTH, L.L.C. MANAGING MEMBER AND CHIEF COMPLIANCE OFFICER direct 2010-12-01
FOUNDATIONS INVESTMENT ADVISORS LLC PARTNER direct 2015-03-01
FOUNDATIONS INVESTMENT ADVISORS LLC PARTNER / CCO direct 2015-03-01
RICE, BRYON PARTNER 03/01/2015 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
FOUNDATIONS INVESTMENT ADVISORS LLC PARTNER direct 2015-03-01
C'DEBACA, ERNEST, JOHN CHIEF COMPLIANCE OFFICER 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
DIRECTED SERVICES LLC SENIOR VICE PRESIDENT, INVESTMENT ADVISOR CHIEF COMPLIANCE OFFICER direct 2008-07-01
ALETHEIA RESEARCH AND MANAGEMENT INC CHIEF COMPLIANCE OFFICER direct 2010-02-01
ING INVESTMENTS, LLC SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER direct 2008-07-01

Elevate your investments