THE FOUNDATION INVESTMENT GROUP
FIG WEALTH, LLC Legal Name
Adviser information for THE FOUNDATION INVESTMENT GROUP last updated from Form ADV on March 22nd, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 6 |
|---|---|
| Investment Advisory/Research | 4 |
| Registered Broker-Dealer Representatives | 2 |
| Registered State Investment Advisers | 2 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 519 | $235.3M |
| Non-Discretionary | 13 | $6.6M |
| Total | 532 | $241.9M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 42 | $13.3M |
| HNW Individuals | 101 | $228.6M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | <5 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMFixed fees |
Identifiers
| SEC RIA File Number | 801-123159 |
|---|---|
| SEC ERA File Number | 801-123159 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 318369 |
| Legal Entity Identifier | None |
Principal Office
3466 MT. DIABLO BLVD.SUITE C-201
LAFAYETTE
CA
United States
Monday - Friday, 8:30AM-4:30PM
Tel: 925-298-5840, Fax: None
Chief Compliance Officer
MICHAEL GONZALES
CHIEF OPERATING OFFICER
3466 MT. DIABLO BLVD.
SUITE C-201
LAFAYETTE
CA
United States
Tel:
925-298-5840
M*******@***********S
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| GALLEGOS, ADAM, DANIEL | Individual | – | SOLE MEMBER | 12/2021 | > 75% |
| GONZALES, MICHAEL, DAVID | Individual | – | CHIEF COMPLIANCE OFFICER AND CHIEF OPERATING OFFICER | 12/2021 | < 5% |