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FOUNDERS FINANCIAL ALLIANCE, LLC

dba FOUNDERS FINANCIAL ALLIANCE, LLC · CRD 173011 · Registered Investment Adviser

FOUNDERS FINANCIAL ALLIANCE, LLC is a Registered Investment Adviser headquartered in RALEIGH, NC. The firm reports $1,185,963,782 in regulatory assets under management across 4,229 accounts. It reports no Form ADV Item 11 disciplinary disclosures.

Regulatory assets under management

Discretionary$1,183,211,271
Non-discretionary$2,752,511
Total RAUM$1,185,963,782
Accounts4,229

Disciplinary history (Form ADV Item 11)

This adviser reports no Form ADV Item 11 disciplinary events.

About this data

Form ADV is the uniform registration form every investment adviser files with the U.S. Securities and Exchange Commission (and state regulators). Part 1A captures the firm's identity, assets under management, client base, custody arrangements, and disciplinary disclosures. This page mirrors the SEC's monthly firm-roster export with citations to the Investment Adviser Public Disclosure (IAPD) system, where the full brochure (Part 2) and disciplinary detail are available.

References

  1. U.S. Securities and Exchange Commission. Investment Adviser Public Disclosure — CRD 173011. adviserinfo.sec.gov/firm/summary/173011.
  2. SEC Form ADV firm roster (FOIA monthly export). sec.gov Form ADV data.

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