# Founders Financial Alliance, LLC

> Founders Financial Alliance, LLC is an SEC-registered investment advisory firm in Raleigh, NC, registered since 2016, reporting $1 billion to $5 billion in regulatory assets under management in its Form ADV filing dated March 10, 2026.

- CRD: 173011
- Filed as: FOUNDERS FINANCIAL ALLIANCE, LLC
- Also doing business as: CECCATO WEALTH PARTNERS, LLC, CORNERSTONE WEALTH ADVISORS, DEFRANCO FINANCIAL, DIAMOND & ASSOCIATES WEALTH MANAGEMENT, DU LAC WEALTH SERVICES, ELITE WEALTH MANAGEMENT, LLC, FLATFEE CIO, FOUNDERS WEALTH ADVISORS, LLC, FOUNDERS WEALTH PARTNERS, LLC, MITRO WEALTH MANAGEMENT, MJM WEALTH MANAGEMENT, LLC, THE SOVRAN
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Raleigh, NC
- Filing period: October 2026
- Form ADV filing dated: March 10, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/173011
- AdvisorCensus page: https://advisorcensus.com/firm/founders-financial-alliance-llc-raleigh-nc-173011

## Quick answers

**How is Founders Financial Alliance, LLC compensated?**
On its Form ADV (Item 5.E, October 2026), Founders Financial Alliance, LLC reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees).

**How much does Founders Financial Alliance, LLC charge?**
Its Form ADV Part 2A brochure dated March 10, 2026 states: Flat fee: $2,000 to $5,000 a year (Pension Consulting Fees); Flat fee: $200 to $15,000 (one-time financial planning and consulting services); Hourly rate: $200 to $500 an hour (one-time financial planning and consulting services). Fees can differ by service and may be negotiable; the brochure is the complete statement.

**Where is Founders Financial Alliance, LLC located?**
Founders Financial Alliance, LLC's principal office is in Raleigh, NC, according to its Form ADV; the April 2026 filing also lists 7 other offices (Schedule D, Section 1.F).

**Is Founders Financial Alliance, LLC registered with the SEC or a state?**
Founders Financial Alliance, LLC is an SEC-registered investment advisory firm, registered since 2016. Status as filed: Approved. CRD 173011.

**How much does Founders Financial Alliance, LLC manage?**
Founders Financial Alliance, LLC reports $1,185,963,782 in regulatory assets under management in its Form ADV filing dated March 10, 2026 (100% discretionary).

**How have Founders Financial Alliance, LLC's assets and staff changed since 2021?**
In the Form ADV data for Founders Financial Alliance, LLC: Regulatory assets under management: $588,493,543 in the October 2021 data and $1,185,963,782 in the October 2026 data, up 102%. Total employees: 23 in October 2021 and 31 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Founders Financial Alliance, LLC serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (1,643); high net worth individuals (711); pension and profit sharing plans (but not the plan participants or government pension plans) (27).

**Which custodians does Founders Financial Alliance, LLC use?**
Founders Financial Alliance, LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc., LPL Financial LLC and Raymond James & Associates, Inc. as custodians holding 10% or more of its separately managed account assets.

**Does Founders Financial Alliance, LLC report any disciplinary disclosures?**
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/173011

**What changed in Founders Financial Alliance, LLC's recent Form ADV filings?**
In the April 2026 filing data: Regulatory assets under management went from $1,002,097,380 to $1,185,963,782 (+18%). No longer lists an office in Chapel Hill, NC. No longer lists an office in Raleigh, NC.

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)

### Fees and minimums (Form ADV Part 2A brochure dated March 10, 2026)

- Flat fee: $2,000 to $5,000 a year (Pension Consulting Fees)

> The minimum flat fee range is generally between $2,000 and $5,000 annually depending on the size, complexity and services offered.

- Flat fee: $200 to $15,000 (one-time financial planning and consulting services)

> FFA charges clients an hourly or fixed fee for one-time financial planning and consulting services. Fixed fees generally range from $200 to $15,000

- Hourly rate: $200 to $500 an hour (one-time financial planning and consulting services)

> FFA charges clients an hourly or fixed fee for one-time financial planning and consulting services. ... the hourly fee generally ranges from $200 to $500.

As stated in the firm's brochure. Fees can differ by service and may be negotiable.

### Custodians (Schedule D, Section 5.K(3))
- Charles Schwab & Co., Inc.
- LPL Financial LLC
- Raymond James & Associates, Inc.

Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.

### Regulatory assets under management (Item 5.F)
- Total: $1,185,963,782
- Discretionary: $1,183,211,271
- Non-discretionary: $2,752,511

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 1,643 | $360,109,328 |
| High net worth individuals | 711 | $773,173,449 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 27 | $27,237,779 |
| Charitable organizations | 11 | $5,131,404 |
| Corporations or other businesses not listed above | 20 | $17,559,311 |
| Other | Fewer than 5 | $2,752,511 |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Other

### Firm details
- Registered since: 2016 (9 years)
- Employees: 31 total, 31 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: AR, AZ, CA, CO, DE, FL, GA, IL, KY, LA, MA, MD, MI, MN, MO, NC, NJ, NM, NY, OH, OK, OR, PA, SC, TN, TX, VA, WA, WI, WV
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Other offices (Schedule D, Section 1.F), as of the April 2026 filing
- Albuquerque, NM
- Cary, NC
- Locust, NC
- Pinehurst, NC
- Sarasota, FL
- St. Petersburg, FL
- Wheeling, WV

### Websites listed on Form ADV (Item 1.I)
- defrancofinancial.com
- diamondadvisory.com
- dulacwealthservices.com
- foundersfa.com
- foundersfinancialalliance.com
- founderswa.com
- LinkedIn @17774092

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $588,493,543 | 23 | May 25, 2021 |
| October 2022 | $642,837,068 | 30 | February 25, 2022 |
| October 2023 | $617,123,862 | 28 | May 2, 2023 |
| October 2024 | $700,896,438 | 28 | March 14, 2024 |
| October 2025 | $1,002,097,380 | 32 | March 21, 2025 |
| October 2026 | $1,185,963,782 | 31 | March 10, 2026 |

Regulatory assets under management: $588,493,543 in the October 2021 data and $1,185,963,782 in the October 2026 data, up 102%.
Total employees: 23 in October 2021 and 31 in October 2026.

## Changes in the filing (last 12 months)

### April 2026
- Regulatory assets under management went from $1,002,097,380 to $1,185,963,782 (+18%).
- No longer lists an office in Chapel Hill, NC.
- No longer lists an office in Raleigh, NC.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Founders Financial Alliance, LLC (CRD 173011): Form ADV filing data as of October 2026.