Founders Financial Securities, LLC

Broker-DealerFINRA MemberEst. 2006
Total AUM
$4.1B
Discretionary
$3.7B
88% of AUM
Accounts
19,082
Employees
139
Advisory reps
131
Brokerage reps
118

Firm details

Headquarters
Towson, Maryland
CRD number
137945
Registered since
July 13, 2006
Website
foundersfinancial.com
Custodians
AXOS CLEARING LLC
Fee structure
Percentage of AUM, Hourly Charges, Subscription Fees, Fixed Fees
Client types
  • HNWI51.48%
  • Individuals37.91%
  • Pension & Profit Sharing Plans10.01%
  • Charitable Organizations0.39%
  • Corporations / Businesses0.21%
Services
Financial PlanningPortfolio Management for IndividualsPortfolio Management for Institutional ClientsPension ConsultingSelection of Other Advisers

Firm profile

FINTRX

Overview

Founders Financial Securities, LLC is an independent broker‑dealer organized as an LLC and SEC‑registered since 2006. The firm functions both as a capital allocator and as an insurance broker, serving individual and family clients alongside institutional accounts. Its service mix includes financial planning, portfolio management for individuals, small businesses and institutions, selection of other advisers, and pension consulting. Founders uses a range of fee arrangements — percentage of AUM, hourly, subscription and fixed fees — and does not position itself as an active ESG investor.

Assets & Accounts

Public Holdings

Investments & Alternatives

Location & Offices

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Investment profile

FINTRX

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

FINTRX

CRM & tech providers

TAMPs used

Clients

FINTRX

Client base

Client personas

Asset composition

Asset composition: Public Funds/Mutual Funds 75%, Exchange Traded Equities 18%, Cash & Cash Equivalents 5%, State & Local Bonds 1%, Investment Grade Corp Bonds 1%75%
  • Public Funds/Mutual Funds75%
  • Exchange Traded Equities18%
  • Cash & Cash Equivalents5%
  • State & Local Bonds1%
  • Investment Grade Corp Bonds1%

Owners & executives

3 of 13
  • Charles Roberts

    Charles Roberts

    Founder & CEOCRD 4533614

  • Peter Murphy

    Peter Murphy

    President and Chief Investment OfficerCRD 6109439

  • David Reid

    David Reid

    CEOCRD 4853412

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Contacts

3 of 118

  • Robert Gentner

    Financial AdvisorCRD 5698491

  • David Rea

    David Rea

    Senior Investment OfficerCRD 5741982

  • Jordan Taylor

    Jordan Taylor

    Vice President of Wealth ManagementCRD 5807792

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Wealth teams

FINTRX

Newly hired reps

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Recent M&A activity

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Recent filings

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Awards

FINTRX

ETF holdings

1 of 413

Active vs passive

$2.2B in ETFs

Passive

73%

$1.6B

Active

23%

$607M

ETFProviderStyleCategoryValueShares% of portfolio
STATE STREET(R) SPDR(R) PORTFOLIO S&P 500(R) GROWTH ETF (SPYG)State StreetPassiveLarge Growth$127M1,064,8575.74%
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Location

Primary office

Towson, MD

Baltimore

Location

Towson, MD

Headquartered in Towson, MD, anchoring the Washington-Baltimore-Arlington, DC-MD-VA-WV-PA metro in the South.

Metro area
Washington-Baltimore-Arlington, DC-MD-VA-WV-PA
Region
South
County
Baltimore
Address
1026 Cromwell Bridge Rd
Time zone
ET (UTC-5)
Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth