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Investment Adviser Firm Summary

FOUNDATIONS INVESTMENT ADVISORS LLC (CRD# 175083 / SEC# 801-100512)
Alternate Names: 5 MONEY MYTHS , ANDREWS FINANCIAL SERVICES , ARTESIAN FINANCIAL GROUP , CAPITOL PLANNING GROUP , CARAWEALTH MANAGEMENT , CHICAGO ONE FINANCIAL , CLARK WEALTH MANAGEMENT, LLC , FOUNDATIONS INVESTMENT ADVISORS LLC , FRISBIE & ASSOCIATES , HTR GROUP , IGT MANAGEMENT , INFORM , J.M. ARBOUR , JAC M. ARBOUR , JP SANTANIELLO RETIREMENT PLANNING SOLUTIONS , KELLY FINANCIAL SERVICES , KJM FINANCIAL & INSURANCE SERVICES, INC. , LONGSHAW FINANCIAL GROUP , MALIA FINANCIAL GROUP , MARKET ADVISORY GROUP , PGR PARTNERS , PROINCOME , RBA FINANCIAL SERVICES , RICHARD PELLETIER , ROBBIN BROOME, INC. , SAGE FINANCIAL INVESTMENTS, LLC , SENIOR CARE SOLUTIONS , SENIOR TAX AND INSURANCE ADVISORS, PLLC

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 07/13/2015
Arizona Terminated 07/18/2015

NOTICE FILINGS


Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.


JURISDICTION EFFECTIVE DATE
Alabama 07/05/2018
Alaska 07/05/2018
Arizona 07/13/2015
Arkansas 07/05/2018
California 07/13/2015
Colorado 01/27/2016
Connecticut 06/26/2017
Delaware 07/05/2018
District of Columbia 07/05/2018
Florida 08/19/2015
Georgia 04/20/2016
Hawaii 05/23/2016
Idaho 07/05/2018
Illinois 06/24/2016
Indiana 04/11/2016
Iowa 07/05/2018
Kansas 11/20/2015
Kentucky 07/05/2018
Louisiana 02/24/2017
Maine 10/15/2015
Maryland 10/15/2015
Massachusetts 08/28/2015
Michigan 10/01/2015
Minnesota 07/05/2018
Mississippi 04/12/2017
Missouri 03/20/2017
Montana 07/05/2018
Nebraska 07/05/2018
Nevada 10/17/2016
New Hampshire 10/15/2015
New Jersey 10/17/2017
New Mexico 07/05/2018
New York 07/05/2018
North Carolina 01/03/2017
North Dakota 07/05/2018
Ohio 05/04/2018
Oklahoma 07/05/2018
Oregon 07/05/2018
Pennsylvania 02/14/2017
Rhode Island 06/20/2017
South Carolina 11/02/2015
South Dakota 07/05/2018
Tennessee 10/19/2015
Texas 08/05/2015
Utah 08/05/2015
Vermont 07/05/2018
Virginia 07/05/2018
Washington 06/06/2017
West Virginia 07/05/2018
Wisconsin 07/05/2018
Wyoming 07/05/2018

EXEMPT REPORTING ADVISERS


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.


Not Currently an Exempt Reporting Adviser