Founders Financial Alliance, LLC
Raleigh, NC·SEC-registered · CRD #173011
Founders Financial Alliance, LLC is an SEC-registered investment advisory firm in Raleigh, NC managing $1.2B across 4.2k client accounts, with 31 advisory staff.
Regulatory snapshot
Verify on SEC.govRegulatory AUM
$1.2B
Client accounts
4.2k
Advisory staff
31
Fee model
Fee-based
How Founders Financial Alliance, LLC is paid
Compensation arrangements disclosed on Form ADV. A fee-based firm may earn both client fees and product commissions; ask which applies to you.
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Common questions about Founders Financial Alliance, LLC
How much does Founders Financial Alliance, LLC manage?
Per its most recent SEC Form ADV filing (03/10/2026), Founders Financial Alliance, LLC reports $1.2B in regulatory assets under management across roughly 4.2k client accounts.
How does Founders Financial Alliance, LLC charge?
Founders Financial Alliance, LLC is a fee-based firm. Its disclosed compensation arrangements are: % of assets, Hourly, Commissions. Exact fee schedules appear in the firm's Form ADV Part 2 brochure — confirm current fees directly with the firm.
Is Founders Financial Alliance, LLC a fiduciary?
Yes. Founders Financial Alliance, LLC is registered with the U.S. Securities and Exchange Commission (CRD #173011), and SEC-registered investment advisers owe a fiduciary duty to act in their clients' best interest. You can verify its registration and any disclosures on the SEC's public record.
Is Founders Financial Alliance, LLC taking new clients like me?
Availability and account minimums vary and aren't in the public filing. The fastest way to find out is the free 2-minute match — it checks Founders Financial Alliance, LLC and comparable advisors against your goals and assets, and only surfaces firms open to your situation.
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Profile compiled from Founders Financial Alliance, LLC's public SEC Form ADV filing (CRD #173011, filed 03/10/2026). AdvisoryReviews is an independent comparison and matching service and is not affiliated with, endorsed by, or a partner of Founders Financial Alliance, LLC. Listing does not imply any relationship. Figures are as reported to the SEC and may have changed; verify current details at adviserinfo.sec.gov. Are you with Founders Financial Alliance, LLC? Claim this profile.