FOUNDATIONS INVESTMENT ADVISORS LLC of PHOENIX, AZ is an SEC-registered investment adviser (CRD 175083). Regulatory assets under management: $10.1B.
Compensation: % of AUM, Hourly, Fixed.
Clients served: Individuals, High net worth, Charities.
| Name | Role | Location |
|---|---|---|
| MANN MICHAEL | CHIEF COMPLIANCE OFFICER; CHIEF FINANCIAL OFFICER | PLANO, TX |
| Kyle Michael Mann | CEO; CHIEF FINANCIAL OFFICER | — |
| Jarrod Dale Florence | PRESIDENT | — |
| Marc James Pugsley | CHIEF COMPLIANCE OFFICER | — |
| Joshua Ryan Cooksey | COO | — |
| Bryon E Rice | CEO; TRUSTEE/OWNER | — |
| Bryon Rice | OWNER / CEO | — |
| Emily Suzanne Reitan | COO | — |
| REITAN EMILY SUZANNE | COO | — |
| C'DEBACA ERNEST JOHN | CCO & CLO; CHIEF COMPLIANCE OFFICER; CLO & CCO (+1 more) | — |
| JUNIOR JEFFREY BRENT | PARTNER; PARTNER / CCO | — |
| RICE BRYON | OWNER / CEO; PARTNER | — |
| WHELESS DANIEL RYAN | PRESIDENT | — |
| biagini daniel clifford | CHIEF DISTRIBUTION OFFICER | — |
| Florence Jarrod Dale | PRESIDENT | — |
| PUGSLEY MARC JAMES | CHIEF COMPLIANCE OFFICER | — |
| Bryon E. Rice | CEO; TRUSTEE/OWNER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2023-09-25 | regulatory | ON JUNE 8, 2026, THE SECURITIES AND EXCHANGE COMMISSION ("SEC") ANNOUNCED AN AGREEMENT WITH FOUNDATIONS INVESTMENT ADVISORS, LLC ("FOUNDATIONS"), AND ITS MAJORITY OWNER AND FORMER CHIEF EXECUTIVE OFFICER, BRYON E. RICE, TO SETTLE FINDINGS RELATING TO FOUNDATIONS' ALLEGED FAILURE TO DISCLOSE CERTAIN… | Final | $2.2M |
| — | regulatory | — | — | — |
| — | civil | — | — | — |