Adam D. Gallegos

THE FOUNDATION INVESTMENT GROUP

Lafayette, CA 94549

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CRD#: 4444399

Professional summary

Adam Daniel Gallegos is a registered financial advisor currently at THE FOUNDATION INVESTMENT GROUP located in Lafayette, California and CHAUNER SECURITIES, INC. located in Lafayette, California.

Adam is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Adam has worked at 10 firms and has passed the Series 66, SIE, Series 3, Series 7 and Series 30 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

FIG WEALTH LLC DBA THE FOUNDATION INVESTMENT GROUP LOCATED AT 3466 MT. DIABLO SUITE C201, LAFAYETTE, CA 94549. THE BUSINESS IS INVESTMENT RELATED. GALLEGOS IS THE OWNER OF FIG WEALTH LLC, AN SEC REGISTERED INVESTMENT ADVISORY FIRM. GALLEGOS THE PRESIDENT, CEO AND REGISTERED INVESTMENT ADVISOR WITH FIG WEALTH LLC. GALLEGOS SPENDS APPROXIMATELY 40 HOURS PER WEEK ON THIS BUSINESS. AGHK, LLC DBA THE FOUNDATION INVESTMENT GROUP LOCATED AT 3466 MT. DIABLO SUITE C201, LAFAYETTE, CA 94549. THE BUSINESS IS A SINGLE MEMBER LLC, ADAM GALLEGOS IS THE SOLE MEMBER. GALLEGO'S REGISTERED REPRESENTATIVE BROKER DEALER COMMISSION REVENUE ARE PASSED THROUGH THIS ENTITY. THERE ARE NO ADDITIONAL ACTIVITIES CONDUCTED BY THE LLC. LAFAYETTE LACROSSE CLUB - TREASURER. LAFAYETTE, CA. BOOKKEEPING DUTIES AND BOARD MEMBER OF HIGH SCHOOL 501C3 NON-PROFIT LACROSSE TEAM. VOLUNTEER POSITION, NO COMPENSATION. 1-5 HOURS PER MONTH

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Adam Daniel Gallegos's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

March 3, 2022 - Present

THE FOUNDATION INVESTMENT GROUP

Office #1: 3466 Mt. Diablo Blvd. Suite C-201, Lafayette, CA 94549

RIA

CRD#: 318369

Lafayette, CA

Current

March 6, 2022 - Present

CHAUNER SECURITIES, INC.

Office #1: 3466 Mount Diablo Blvd, Suite C201, Lafayette, CA 94549

CRD#: 10075

Lafayette, CA

Past

February 3, 2021 - March 3, 2022

GLOBAL ASSETS ADVISORY, LLC

RIA

CRD#: 300460

LAFAYETTE, CA

Past

February 3, 2021 - March 3, 2022

INTERNATIONAL ASSETS ADVISORY, LLC

CRD#: 10645

LAFAYETTE, CA

Past

October 12, 2017 - February 2, 2021

COMMONWEALTH FINANCIAL NETWORK

RIA

CRD#: 8032

Lafayette, CA

Past

October 12, 2017 - February 2, 2021

COMMONWEALTH FINANCIAL NETWORK

CRD#: 8032

Lafayette, CA

Past

September 29, 2016 - July 27, 2017

CAREY FINANCIAL, LLC

CRD#: 15246

NEW YORK, NY

Past

January 13, 2009 - September 22, 2016

ALPHAMAX DISTRIBUTORS, L.L.C.

CRD#: 8258

LA JOLLA, CA

Past

October 12, 2004 - December 31, 2008

QUASAR DISTRIBUTORS, LLC

CRD#: 103848

PORTLAND, ME

Past

October 12, 2001 - September 27, 2004

FORESIDE DISTRIBUTION SERVICES, L.P.

CRD#: 15634

PORTLAND, ME

Past

September 7, 2001 - October 8, 2001

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

THE FOUNDATION INVESTMENT GROUP

FIG WEALTH, LLC | THE FOUNDATION INVESTMENT GROUP

CRD#: 318369 / SEC#: 801-123159

RIA

Registered Investment Advisory firm - (2/4/2022 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

IAR

California
(3/3/2022)

California
(3/6/2022)

Connecticut
(3/6/2022)

Florida
(3/15/2022)

Georgia
(3/18/2022)

Illinois
(3/6/2022)

Indiana
(1/29/2024)

Massachusetts
(3/28/2022)

Michigan
(12/19/2023)

Minnesota
(3/30/2022)

Nebraska
(1/11/2024)

Nevada
(7/8/2025)

New Mexico
(9/25/2024)

North Carolina
(1/11/2024)

Oregon
(4/29/2025)

Tennessee
(3/28/2022)

IAR

Texas
(3/7/2022)

Virginia
(12/17/2024)

Washington
(2/28/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 2/13/2002

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 1/22/2009

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 9/5/2001

General Securities Representative Examination

Principal/Supervisory Exam

Series 30

Date: 7/22/2010

NFA Branch Manager Examination

SRO Registrations

FINRA

Current Firm

THE FOUNDATION INVESTMENT GROUP

FIG WEALTH, LLC | THE FOUNDATION INVESTMENT GROUP

CRD#: 318369 / SEC#: 801-123159

RIA

Registered Investment Advisory firm - (2/4/2022 Approved)

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Contact information

Main Address

3466 Mt. Diablo Blvd. Suite C-201, Lafayette, CA 94549

Mailing Address

Phone number

(925) 298-5840

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (12 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DISCLOSURE BROCHURE FOR FIG WEALTH, LLC (3/24/2025)

Regulatory assets under management

Total Number of Accounts	516
AUM (Assets Under Management)	$ 255,657,978

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Adam D. Gallegos

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Adam Daniel Gallegos's CRS (Customer Relationship Summary).

Certified licenses

Experience

CHAUNER SECURITIES, INC.

GLOBAL ASSETS ADVISORY, LLC

INTERNATIONAL ASSETS ADVISORY, LLC

COMMONWEALTH FINANCIAL NETWORK

COMMONWEALTH FINANCIAL NETWORK

CAREY FINANCIAL, LLC

ALPHAMAX DISTRIBUTORS, L.L.C.

QUASAR DISTRIBUTORS, LLC

FORESIDE DISTRIBUTION SERVICES, L.P.

LPL FINANCIAL LLC

Primary Firm SEC Registration

THE FOUNDATION INVESTMENT GROUP

State Registrations and Notice Filings

Exams

Series 66

Date: 2/13/2002

SIE

Date: 10/1/2018

Series 3

Date: 1/22/2009

Series 7

Date: 9/5/2001

Series 30

Date: 7/22/2010

FINRA

Current Firm

THE FOUNDATION INVESTMENT GROUP

Contact information

SEC notice filing (12 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

THE FOUNDATION INVESTMENT GROUP

TRUST BUT VERIFY

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