Founders Financial Alliance, Llc
- Regulatory AUM
- $1.2B
- Discretionary
- $1.2B
- Clients
- 2,412
- Avg AUM / client
- $492K
- Accounts
- 4,229
- Employees
- 31
AUM over time
Annual snapshots from Form ADV filings · as of Mar 10, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 1,643 | $360M | 30.4% |
| High net worth individuals | 711 | $773M | 65.2% |
| Pension and profit sharing plans | 27 | $27.2M | 2.3% |
| Charitable organizations | 11 | $5.1M | 0.43% |
| Corporations and other businesses | 20 | $17.6M | 1.48% |
| Other | Fewer than 5 clients | $2.8M | 0.23% |
People (31)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Tommy Wayne Porter | Managing Member | Sep 2014 (12y) | ≈ 56.25% – 100% via Founders Wealth Holdings, Llc | |
| James Allen Sloop | Chief Compliance Officer | May 2015 (11y) | Less than 5% | |
| Ernest Ceccato | Registered representative | Sep 2015 (11y) | ||
| Don Michael Rudolph | Registered representative | Mar 2016 (10y) | ||
| Dustin Joseph Defranco | Registered representative | Apr 2016 (10y) | ||
| Trina Love Coltrain | Registered representative | Jul 2016 (10y) | ||
| Jeffrey Michael Talley | Registered representative | Jul 2016 (10y) | ||
| Terrence Lyman Donoghue | Registered representative | Oct 2016 (10y) | ||
| Louis Joseph Costanzo | Registered representative | CFP Chartered Financial Consultant | Mar 2017 (9y) | |
| Ralph Joseph Aiello | Registered representative | Mar 2017 (9y) | ||
| Susan C Pokwatka | Registered representative | CFP Chartered Financial Consultant | Apr 2017 (9y) | |
| Mark Mc Cormick | Registered representative | Jan 2018 (9y) | ||
| John Robert Lawson | Registered representative | Jun 2018 (8y) | ||
| Brian T Nelan | Registered representative | Nov 2018 (8y) | ||
| Wendy Susan Cain | Registered representative | Jan 2020 (7y) | ||
| John P. Billiter | Registered representative | Jun 2020 (6y) | ||
| Ronald James Perry | Registered representative | Jul 2020 (6y) | ||
| Brad Kevin Pinter | Registered representative | Jul 2020 (6y) | ||
| Paul Anthony Barnette | Registered representative | Aug 2020 (6y) | ||
| Nicholas E Livecchi | Registered representative | CFP | Feb 2021 (5y) | |
| Joshua Blair Schmalz | Registered representative | Apr 2021 (5y) | ||
| Ethan James Porter | Registered representative | Dec 2021 (5y) | ||
| Bruce Noel Trushel | Registered representative | Chartered Financial Consultant | Jan 2022 (5y) | |
| Jacob Britt Lawson | Registered representative | Sep 2024 (2y) | ||
| Hantz Don Serrao | Registered representative | CFP | Oct 2024 (2y) | |
| Karen Lucinda Diamond | Registered representative | Oct 2024 (2y) | ||
| Derek R Simpson | Registered representative | Jul 2025 (1y) | ||
| Gregory Robert Mitro | Registered representative | Jan 2026 (1y) | ||
| Cole Stephen Nolte | Registered representative | Feb 2026 (0y) | ||
| Heather Nicole De Franco | Registered representative | Apr 2026 (0y) | ||
| James Richard Batey | Registered representative | Apr 2026 (0y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Founders Wealth Holdings, Llc | Holding Company | Jan 2018 | A | 75% or more |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Tommy Wayne Porter: 75% – 100% of Founders Wealth Holdings, Llc × 75% – 100% direct ≈ 56.25% – 100% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/10/2026 | 1.01 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
- • Pension consulting services
- • Selection of other advisers
- • Other services
Custody
Reported custodians
- LPL Financial $760M (64% of AUM) Mar 2026
- Charles Schwab & Co. $225M (19% of AUM) Mar 2026
- Raymond James $197M (17% of AUM) Mar 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 10, 2026.
View current Form ADV (SEC/IAPD) ↗