The Foundation Wealth Management, LLC
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Total assets under management
$13,212,000
Total clients
76
7% high-net worth
Total advisors
1
of 1 employees
Firm size
Independent
1 advisor
Average clients per advisor
76
Average account size
$173,842
About
The firm provides fee-based investment management and financial planning to individuals, high-net-worth individuals, charitable organizations, and small businesses, and it also advises on retirement account rollovers. Services include non-discretionary portfolio management, written financial plans, and periodic performance reporting.
Investment advice is delivered on a non-discretionary basis: the firm recommends securities and seeks client approval before executing trades, documents objectives in an investment policy statement, and conducts periodic (typically quarterly) reviews or more frequent reviews as market conditions dictate. The firm uses a mix of fundamental, technical and cyclical analysis and can place client assets on the FTJ FundChoice platform for certain accounts.
Compared with many independent advisers, the firm notably provides ERISA 3(21) retirement-plan consulting and monitors plan investment options—services that are less commonly offered by peers. The firm’s regulatory brochure discloses several civil litigation matters (one dismissed and others pending) and notes the owner’s separate insurance practice, which occupies roughly 10% of his time and may produce commission-based conflicts that the firm says it discloses and seeks to mitigate.
Client services
Expertise
Occupation focus
Fee options
Fees for financial plans are due half at signing and half at delivery; exact amounts not specified
$0 - $1,000,000: 1.00% annually $1,000,001 - $3,000,000: 0.85% annually $3,000,001 - $6,000,000: 0.75% annually $6,000,001+: Negotiable
Insurance products commissions received by the owner as an independent insurance agent
$250 per hour for financial planning services
Most active in
California
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
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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