Founders Financial Alliance, LLC

RIASEC RegisteredEst. 2016
Total AUM
$1.2B
Discretionary
$1.2B
100% of AUM
Avg account
$280K
Accounts
4,229
Employees
31
Advisory reps
31

Firm details

Headquarters
Raleigh, North Carolina
CRD number
173011
Registered since
November 21, 2016
Website
foundersfa.com
Custodians
LPL FINANCIAL LLC, CHARLES SCHWAB & CO., INC., RAYMOND JAMES & ASSOCIATES, INC.
Fee structure
Percentage of AUM, Hourly Charges, Fixed Fees
Client types
  • HNWI65.19%
  • Individuals30.36%
  • Pension & Profit Sharing Plans2.3%
  • Corporations / Businesses1.48%
  • Charitable Organizations0.43%
Services
Financial PlanningPortfolio Management for IndividualsPortfolio Management for Institutional ClientsPension ConsultingSelection of Other Advisers

Firm profile

FINTRX

Overview

Founders Financial Alliance, LLC is an independent registered investment adviser organized as an LLC and registered with the SEC in 2016. The firm markets itself as a capital allocator and serves both individual/family clients and institutional investors. Its advisory offerings include financial planning, portfolio management for individuals, small businesses and institutions, pension consulting, and the selection of outside managers. Fee arrangements span percentage-of-AUM, hourly charges, and fixed-fee engagements. The firm is not identified as an active ESG investor and lists an insurance company affiliation.

Assets & Accounts

Public Holdings

Investments & Alternatives

Location & Offices

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Investment profile

FINTRX

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

FINTRX

CRM & tech providers

TAMPs used

Clients

FINTRX

Client base

Client personas

Asset composition

Asset composition: Public Funds/Mutual Funds 62%, Exchange Traded Equities 29%, Cash & Cash Equivalents 4%, Non-Investment Grade Corp Bonds 2%, US Government Bonds 1%, State & Local Bonds 1%, Other 1%62%
  • Public Funds/Mutual Funds62%
  • Exchange Traded Equities29%
  • Cash & Cash Equivalents4%
  • Non-Investment Grade Corp Bonds2%
  • US Government Bonds1%

Contacts

3 of 31
  • Nicholas Livecchi

    Nicholas Livecchi

    President & FounderCRD 5885664

  • James Batey

    James Batey

    Founder & Wealth AdvisorCRD 5075948

  • Trina Coltrain

    Trina Coltrain

    Office Manager & Client AdministratorCRD 5310148

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Wealth teams

FINTRX

Newly hired reps

FINTRX

Recent M&A activity

FINTRX

Recent filings

FINTRX

Awards

FINTRX

ETF holdings

1 of 1,329

Active vs passive

$1B in ETFs

Passive

67%

$665M

Active

28%

$335M

ETFProviderStyleCategoryValueShares% of portfolio
ISHARES CORE S&P 500 ETF (IVV)BlackRockPassiveLarge Blend$29.7M39,6352.97%
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Location

Primary office

Raleigh, NC

Wake

Location

Raleigh, NC

Headquartered in Raleigh, NC, anchoring the Raleigh-Durham-Cary, NC metro in the South.

Metro area
Raleigh-Durham-Cary, NC
Region
South
County
Wake
Address
9212 Falls Of Neuse Rd
Time zone
ET (UTC-5)
Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth