Foundational Financial Advisors, LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$4,490,000
Clients
15
0% 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
15
LowAverage account size
$299,333
About
Foundational Financial Advisors, LLC is a small independent registered investment adviser managing roughly $4.49 million across about 15 client relationships and serving individuals, businesses, and qualified retirement plans. The firm provides discretionary and non‑discretionary asset management, standalone financial planning and consulting, and ERISA plan services for sponsors and participants.
Investment strategies are tailored to each client’s goals, time horizon and risk tolerance and may employ fundamental and technical analysis; clients may impose written investment restrictions and choose discretionary or non‑discretionary engagement. Accounts are reviewed at least quarterly and deliverables such as financial plans are completed on an agreed timetable, with custodians providing periodic account statements.
What distinguishes the firm from many solo independents is its combination of advisory services with affiliated legal and insurance practices—the principal also offers attorney and insurance services and discloses those outside activities and related conflicts. The firm’s provision of ERISA 3(21) and 3(38) services, including acting as a discretionary investment manager for retirement plans, is also atypical for a single‑advisor independent firm.
Client services
Financial planning
Portfolio management
Expertise
Retirement plans for business owners (SEP, solo 401k)
General tax planning
Cash flow / budgeting
Active portfolio management
Fee options
Fixed fee for financial planning services between $750 and $15,000
Annual investment advisory fee of no more than 0.95%, billed quarterly in arrears
Hourly fee for financial planning services ranging from $150 to $300 per hour
Fee-only: Financial planning fees charged either hourly ($150-$300 per hour) or fixed fee ($750 to $15,000)
Main office location
Foundational Financial Advisors, LLC
Indianapolis IN, United States
Number of offices
1
Most active in
Foundational Financial Advisors, LLC has reported serving >5 clients in these states in the last 12 months.
Indiana
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 active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Lawyer
They provide legal services, typically billed separately.
Is not active or affiliated with:
-
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
-
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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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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