Foundation Associates Asset Management Inc.

The firm provides portfolio management and investment research to individual investors and small businesses, operating both discretionary accounts managed under a limited power of attorney and non‑discretionary, research‑only relationships where clients execute trades themselves. It is a single‑advisor practice with a small number of client relationships and assets under management in the low‑single‑digit millions.

The advisor’s approach is primarily technical, relying on chart studies and mathematical indicators, and frequently uses option‑based strategies such as selling cash‑covered puts and, when assigned, writing calls to generate premium income. Accounts are reviewed weekly, trades may be aggregated across clients, and the firm uses a documented rotating allocation sheet to distribute executions.

Notable distinctions include the use of performance‑based fees for certain qualified, advice‑only clients—an uncommon practice among similar independent firms—and a substantial portion of its business being non‑discretionary, reflecting an emphasis on providing research rather than exercising full trading authority. The firm also recently wound down its prior commodity trading adviser activities and is making its first application as an investment adviser; the principal maintains personal trading but states client executions are prioritized to address conflicts of interest.