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Patrick Moriarty

Foundations Investment Advisors LLC
38 Years of Experience
Rockville, MD
2 DisclosuresSells Insurance
View SEC Summary
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Patrick Moriarty is a registered investment advisor at Foundations Investment Advisors LLC, based in Rockville, MD, with 38 years of industry experience. Patrick operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Business Owners, Education Planning, Estate Planning, Federal Employees, and 6 more. Their firm serves 29,663 clients with $10B in assets under management.

Foundations Investment Advisors LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
299 advisors
Number of Clients
29,663 clients
Average Client Portfolio
$340K average
Assets Under Management
$10.1B

Fee Structure

Minimum Investment:$5K
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.00%

Maximum annual advisory fee is 2.00%. Fees are negotiable. Accounts with more than three investment strategies incur an additional $15 annual fee per extra strategy, and all accounts pay a $50 annual administrative and technology fee.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

15005 Rocking Spring Drive, Rockville, MD, 20853

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History

Regulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Financial
February 2017
Final
Customer Dispute
October 2001
Denied
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Patrick sells life insurance, annuities, and long-term care products as an insurance agent, dedicating a full-time commitment to this activity. He also operates Moriarty Financial Services as an investment advisor representative, also dedicating a full-time commitment to this activity.

Employment History
Current Registrations
Foundations Investment Advisors LLC
May 2019 - Present · 7 yrs 5 mos
Previous Registrations
Cetera Advisor Networks LLC
January 2016 - April 2019 · 3 yrs 3 mos
Cetera Advisor Networks LLCBroker
January 2016 - April 2019 · 3 yrs 3 mos
Wells Fargo Advisors, LLC
March 2006 - January 2016 · 9 yrs 10 mos
Wells Fargo Advisors, LLCBroker
October 2000 - January 2016 · 15 yrs 3 mos
First Union Brokerage Services, INC.Broker
August 2000 - October 2000 · 2 mos
Salomon Smith Barney INC.Broker
July 1994 - August 2000 · 6 yrs 1 mo
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
May 1988 - July 1994 · 6 yrs 2 mos
State Registrations1 state
MD
Advisor

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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