Foundations Investment Advisors LLC

– Fees and Compensation.
Affiliation with Alpha 1 Tax and Wealth Management, LLC
   Bryon Rice is the co-owner and CEO of Alpha 1 Tax and Wealth Management, LLC dba
   Alpha 1 Tax and Wealth Management (“ALPHA 1”). ALPHA 1 is a limited liability company
   formed in the State of Colorado in April of 2018. ALPHA 1’s associated persons, including
   Mr. Rice, are licensed insurance agents.
   ALPHA 1 is affiliated with Magellan through common ownership and control. As noted
   above, Magellan is also an insurance agency. Magellan, ALPHA 1, its associated persons,
   including Mr. Rice, receive commission-based compensation for effecting transactions in
   insurance products they recommend. Clients of FOUNDATIONS, Magellan or ALPHA 1 are
   under no obligation to purchase insurance products through any of these entities or
   persons affiliated with any of these entities.
   As noted in Item 4, Bryon Rice is the principal owner of FOUNDATIONS. ALPHA 1 is also
   affiliated with FOUNDATIONS through common ownership and control. Certain
   FOUNDATIONS IARs market their investment advisory services through ALPHA 1.
   Mr. Rice receives economic benefit as a result of his roles and ownership interests in
   FOUNDATIONS, Magellan and ALPHA 1.
Affiliation with Northern Alliance Financial, LLC
   Bryon Rice is the co-owner of Northern Alliance Financial, LLC (“NAF”). NAF is a limited
   liability company formed in the State of Maine in August of 2022. NAF’s associated
   persons, including Mr. Rice, are licensed insurance agents.
   NAF is affiliated with Magellan through common ownership and control. As noted above,
   Magellan is also an insurance agency. Magellan, NAF and its associated persons, including
   Mr. Rice, receive commission-based compensation for effecting transactions in insurance
   products they recommend. Clients of FOUNDATIONS, Magellan or NAF are under no
   obligation to purchase insurance products through any of these entities or persons
   affiliated with any of these entities.
   As noted in Item 4, Bryon Rice is the principal owner of FOUNDATIONS. NAF is also
   affiliated with FOUNDATIONS through common ownership and control. Certain
   FOUNDATIONS IARs market their investment advisory services through NAF.
   Mr. Rice receives economic benefit as a result of his roles and ownership interests in
   FOUNDATIONS, Magellan and NAF.
Affiliation with Asset Preservation Tax & Retirement, LLC
   Bryon Rice is the co-owner of Asset Preservation Tax & Retirement, LLC dba Asset
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                               Foundations Investment Advisors, LLC

   Preservation Wealth & Tax (“APWT”). APWT is a limited liability company formed in the
   State of Arizona in August of 2014. APWT’s associated persons, including Mr. Rice, are
   licensed insurance agents.
   APWT is affiliated with Magellan through common ownership and control. As noted above,
   Magellan is also an insurance agency. Magellan, APWT and its associated persons,
   including Mr. Rice, receive commission-based compensation for effecting transactions in
   insurance products they recommend. Clients of FOUNDATIONS, Magellan or APWT are
   under no obligation to purchase insurance products through any of these entities or
   persons affiliated with any of these entities.
   As noted in Item 4, Bryon Rice is the principal owner of FOUNDATIONS. APWT is also
   affiliated with FOUNDATIONS through common ownership and control. Certain
   FOUNDATIONS IARs market their investment advisory services through APWT.
   Mr. Rice receives economic benefit as a result of his roles and ownership interests in
   FOUNDATIONS, Magellan and APWT.
Affiliation with Secure Money Wealth & Tax
   Messrs. Rice, Florence and Mann each own an interest in Bob & Cattle, LLC dba Secure
   Money Wealth & Tax (“SMWT”). SMWT is a limited liability company formed in the State
   of Delaware in March of 2026. SMWT’s associated persons, including Mr. Rice, are licensed
   insurance agents. In addition, other owners of SMWT include an IAR of FOUNDATIONS,
   persons solely associated with Magellan, and one or more persons associated with
   unaffiliated RIAs to which FOUNDATIONS provides sub-advisory or administrative
   services.
   SMWT is affiliated with Magellan through common ownership and control. As noted
   above, Magellan is also an insurance agency. Magellan, SMWT and its associated persons,
   including those persons referenced above, receive commission-based compensation for
   effecting transactions in insurance products they recommend. Clients of FOUNDATIONS,
   Magellan or SMWT are under no obligation to purchase insurance products through any
   of these entities or persons affiliated with any of these entities.
   As noted in Item 4, Bryon Rice is the principal owner of FOUNDATIONS. SMWT is also
   affiliated with FOUNDATIONS through common ownership and control. Certain
   FOUNDATIONS IARs market their investment advisory services through SMWT.
   Messrs. Rice, Florence and Mann also receive economic benefits as a result of their roles
   and ownership interests in SMWT, including as a result of advisory and non-advisory
   activities SMWT or its persons conduct with FOUNDATIONS and Magellan, respectively.
Affiliation with Omega Wealth Private Capital, LLC
   Messrs. Rice, Florence and Mann each own a non-controlling, minority interest in Omega
   Wealth Private Capital LLC (“OWPC”), a registered investment adviser based in
   Cincinnati, Ohio, that uses the FOUNDATIONS platform for a substantial portion of OWPC’s
   clients, and, in such capacity, they introduce OWPC and its clients to certain service
   providers or refer OWPC and its clients to certain investment products or strategies.
   Because of their interests in FOUNDATIONS, they have an incentive to make such
   introductions or referrals with respect to service providers, products or strategies that
...

Item 7: Types of Clients
Description
   We offer investment advisory services to a wide variety of clients including, but not
   limited to, registered investment companies, individuals including those with high net
   worth, pension and profit-sharing plans, including plan participants, trusts, estates,
   401(k) sponsor plans and Individual Retirement Accounts (IRA, SEP, ROTH IRA),
   charitable organizations, corporations and other business entities, including sole
   proprietorships.
Account Minimums
   The minimum account value is $5,000.

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                              Foundations Investment Advisors, LLC