Foundation Financial Inc.
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$17,530,891
Clients
5
100% high-net worth
Advisors
1
of 1 employees
Firm type
Independent
1 advisor
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
5
Very LowAverage account size
$3,506,178
About
Foundation Financial Inc. provides fee-only investment advisory and financial planning services to individuals, high‑net‑worth clients, estates, trusts, small business owners, and retirement‑plan participants. The firm offers ongoing discretionary portfolio management as well as limited‑scope or comprehensive financial planning engagements and does not impose a minimum account size.
The firm’s investment approach is grounded in Modern Portfolio Theory and informed by behavioral‑finance insights, using written Investment Policy Statements, broad diversification (primarily low‑cost ETFs with select active mutual funds), and a mostly buy‑and‑hold strategy with periodic rebalancing and tax‑sensitive trading as appropriate. Custody and execution are arranged through an institutional custodian, and the firm may employ an online model marketplace and third‑party model portfolios to implement strategies and tax management tools.
Noteworthy aspects include a small client roster relative to assets under management (managing roughly $17.5 million across only a few clients) and an affiliated tax‑preparation and planning business operated by the firm’s principal, who allocates additional time to that practice during tax season and offers those services under separate engagement agreements. The principal also holds fiduciary and tax preparer credentials (AIF® and AFSP) and performs the firm’s account reviews and compliance oversight.
Client services
Financial planning
Portfolio management
Expertise
Passive / index investing
Income planning
General tax planning
Occupation focus
Retired
Fee options
Fixed fees between $1,000 and $4,500 for financial planning services
$0 - $250,000: 1.20% $250,001 - $1,000,000: 1.00% $1,000,001 - $2,000,000: 0.80% $2,000,001+: 0.60%
$125 to $200 per hour for consulting services
Fee-only: Fixed fees between $1,000 and $4,500 for financial plans; Hourly fees $125 to $200 per hour for consulting
Main office location
Foundation Financial Inc.
Westport CT, United States
Number of offices
1
Most active in
Foundation Financial Inc. has reported serving >5 clients in these states in the last 12 months.
Connecticut
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
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