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The Foundation Wealth Management, LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$13,212,000
Clients
76
7% high-net-worth
Advisors
1
of 1 employees
Firm type
Independent
1 advisor with up to 2 employees
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
76
Very HighAverage account size
$173,842
About
The firm provides fee-based investment management, financial planning, and retirement-plan advisory services to individuals, high‑net‑worth clients, charitable organizations, and small businesses. It offers ongoing portfolio management and tailored financial plans and may also recommend insurance products through the principal’s separate insurance practice.
Investment management is delivered on a non‑discretionary basis: the firm determines recommended securities and amounts but obtains client approval prior to execution, and it reports approximately $13.2 million in non‑discretionary assets under management. The firm employs fundamental, technical, and cyclical analysis, conducts periodic reviews, and uses the Orion Portfolio platform for some managed accounts.
Distinctive features noted in the firm’s brochure include several disclosure events — multiple civil litigation matters involving the firm and its principal, one of which was dismissed while others remain pending — which is uncommon among peers. The firm also provides ERISA plan services as a limited‑scope 3(21) fiduciary (pension consulting), discloses the principal’s insurance commissions and related conflicts of interest, and describes procedures it uses to mitigate those conflicts.
Client services
Financial planning
Portfolio management
Pension consulting
Selection of other advisers
Expertise
Retirement plans for business owners (SEP, solo 401k)
Retirement income strategy
Options & derivatives strategies
Active portfolio management
Occupation focus
Founder/Business Owner
Retired
Fee options
Financial plan fees due half at signing and balance at delivery; specifics not stated
$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
$250/hour
Main office location
The Foundation Wealth Management, LLC
Fresno CA, United States
Number of offices
1
Most active in
The Foundation Wealth Management, LLC has reported serving >5 clients in these states in the last 12 months.
California
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:
-
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.
-
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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