Investor Foundations Investment Advisors, LLC
13D/G Filings

This page shows a list of all the recent 13D/G filings made by Foundations Investment Advisors, LLC . Schedule 13D is commonly referred to as a “beneficial ownership report.” The term "beneficial owner" is defined under SEC rules. It includes any person who directly or indirectly shares voting power or investment power (the power to sell the security).

When a person or group of persons acquires beneficial ownership of more than 5% of a voting class of a company’s equity securities, they are required to file a Schedule 13D within ten days after the purchase. Click the link icon to see the full transaction history.

Date Form Target Prev
Shares
Current
Shares
Change
(Percent)
Ownership
(Percent)
Change
(Percent)
2025-09-05 13G/A DFVE / DoubleLine ETF Trust - DoubleLine Fortune 500 Equal Weight ETF 259,251 291,575
2025-08-05 13G/A DFVE / DoubleLine ETF Trust - DoubleLine Fortune 500 Equal Weight ETF 229,267 259,251
2025-08-01 13G DCRE / Doubleline ETF Trust - DoubleLine Commercial Real Estate ETF 331,884
2025-08-01 13G/A XMAY / First Trust Exchange-Traded Fund VIII - FT Vest U.S. Equity Enhance & Moderate Buffer ETF - May 331,884 20,179
2025-07-29 13G/A XTJL / Innovator ETFs Trust - Innovator U.S. Equity Accelerated Plus ETF - July 33,340 32,442
2025-07-29 13G/A FLRT / Pacer Funds Trust - Pacer Pacific Asset Floating Rate High Income ETF 873,558 801,399
2025-07-29 13G/A ADFI / Two Roads Shared Trust - Anfield Dynamic Fixed Income ETF 5,371,907 5,233,840
2025-07-29 13G/A AFIF / Two Roads Shared Trust - Anfield Universal Fixed Income ETF 1,363,714 1,166,081
2025-07-29 13G/A RPHS / Two Roads Shared Trust - Regents Park Hedged Market Strategy ETF 4,617,601 4,182,422
2025-07-28 13G/A XISE / First Trust Exchange-Traded Fund VIII - FT Vest U.S. Equity Buffer & Premium Income ETF - September 784,677 737,087
2025-07-28 13G/A DMX / DoubleLine ETF Trust - DoubleLine Multi-Sector Income ETF 109,249 134,630
2025-07-28 13G/A DFVE / DoubleLine ETF Trust - DoubleLine Fortune 500 Equal Weight ETF 184,188 229,267
2025-07-28 13G/A TDSC / Exchange Listed Funds Trust - ETC Cabana Target Drawdown 10 ETF 4,146,493 3,691,152
2025-07-28 13G/A TDSB / Exchange Listed Funds Trust - ETC Cabana Target Beta ETF 2,666,959 2,079,949
2025-07-28 13G/A CLSM / Exchange Listed Funds Trust - ETC Cabana Target Leading Sector Moderate ETF 4,400,080 3,466,078
2025-07-28 13G EMTL / SSGA Active Trust - SPDR DoubleLine Emerging Markets Fixed Income ETF 115,340
2025-07-28 13G XMAY / First Trust Exchange-Traded Fund VIII - FT Vest U.S. Equity Enhance & Moderate Buffer ETF - May 331,884
2025-07-28 13G STOT / SSGA Active Trust - SPDR DoubleLine Short Duration Total Return Tactical ETF 391,329
2025-07-08 13G/A FDTB / Two Roads Shared Trust - Foundations Dynamic Income ETF 233,642 0
2025-07-08 13G/A FDVL / Two Roads Shared Trust - Foundations Dynamic Value ETF 644,791 0
2025-07-08 13G/A FDCE / Two Roads Shared Trust - Foundations Dynamic Core ETF 33,029 0
2025-07-08 13G/A DCMT / DoubleLine ETF Trust - DoubleLine Commodity Strategy ETF 641,227 608,483
2025-07-08 13G/A FDGR / Two Roads Shared Trust - Foundations Dynamic Growth ETF 27,034 0
2025-06-06 13G/A FDGR / Two Roads Shared Trust - Foundations Dynamic Growth ETF 30,780 27,034
2025-06-06 13G/A FDVL / Two Roads Shared Trust - Foundations Dynamic Value ETF 738,184 644,791
2025-06-06 13G/A DMX / DoubleLine ETF Trust - DoubleLine Multi-Sector Income ETF 39,472 109,249
2025-06-06 13G/A FDTB / Two Roads Shared Trust - Foundations Dynamic Income ETF 378,594 233,642
2025-05-07 13G/A FDGR / Two Roads Shared Trust - Foundations Dynamic Growth ETF 52,893 30,780
2025-05-07 13G/A FDVL / Two Roads Shared Trust - Foundations Dynamic Value ETF 1,387,715 738,184
2025-05-07 13G/A FDCE / Two Roads Shared Trust - Foundations Dynamic Core ETF 56,373 33,029
2025-05-06 13G/A DCMT / DoubleLine ETF Trust - DoubleLine Commodity Strategy ETF 668,495 641,227
2025-04-29 13G/A XISE / First Trust Exchange-Traded Fund VIII - FT Vest U.S. Equity Buffer & Premium Income ETF - September 835,858 784,677
2025-04-29 13G/A FDCE / Two Roads Shared Trust - Foundations Dynamic Core ETF 54,598 56,373
2025-04-29 13G/A TDSC / Exchange Listed Funds Trust - ETC Cabana Target Drawdown 10 ETF 4,732,907 4,146,493
2025-04-29 13G/A XIDE / First Trust Exchange-Traded Fund VIII - FT Vest U.S. Equity Buffer & Premium Income ETF - December 70,978 65,482
2025-04-29 13G DMX / DoubleLine ETF Trust - DoubleLine Multi-Sector Income ETF 39,472
2025-04-29 13G/A DFVE / DoubleLine ETF Trust - DoubleLine Fortune 500 Equal Weight ETF 176,044 184,188
2025-04-29 13G/A VFMV / Vanguard Wellington Fund - Vanguard U.S. Minimum Volatility ETF 101,199 133,685
2025-04-29 13G/A FDGR / Two Roads Shared Trust - Foundations Dynamic Growth ETF 50,492 52,893
2025-04-29 13G/A FDVL / Two Roads Shared Trust - Foundations Dynamic Value ETF 1,406,808 1,387,715
2025-04-29 13G/A AFIF / Two Roads Shared Trust - Anfield Universal Fixed Income ETF 1,420,665 1,363,714
2025-04-29 13G/A AESR / Two Roads Shared Trust - Anfield U.S. Equity Sector Rotation ETF 4,945,978 5,127,474
2025-04-29 13G/A ADFI / Two Roads Shared Trust - Anfield Dynamic Fixed Income ETF 5,100,239 5,371,907
2025-04-29 13G/A XTJL / Innovator ETFs Trust - Innovator U.S. Equity Accelerated Plus ETF - July 33,218 33,340
2025-04-02 13G/A FDTB / Two Roads Shared Trust - Foundations Dynamic Income ETF 403,971 378,594
2025-04-02 13G/A DCMT / DoubleLine ETF Trust - DoubleLine Commodity Strategy ETF 614,742 668,495
2025-03-06 13G/A DFVE / DoubleLine ETF Trust - DoubleLine Fortune 500 Equal Weight ETF 115,929 176,044
2025-03-06 13G/A FDCE / Two Roads Shared Trust - Foundations Dynamic Core ETF 54,974 54,598
2025-02-05 13G/A FDCE / Two Roads Shared Trust - Foundations Dynamic Core ETF 54,974
2025-02-05 13G/A SEPM / First Trust Exchange-Traded Fund VIII - FT Vest U.S. Equity Max Buffer ETF - September 1,215
2025-02-05 13G/A FDVL / Two Roads Shared Trust - Foundations Dynamic Value ETF 1,406,808
2025-02-05 13G/A FDTB / Two Roads Shared Trust - Foundations Dynamic Income ETF 403,971
2025-02-05 13G/A FDGR / Two Roads Shared Trust - Foundations Dynamic Growth ETF 50,492
2025-02-04 13G VFMV / Vanguard Wellington Fund - Vanguard U.S. Minimum Volatility ETF 101,199
2025-02-04 13G/A AFIF / Two Roads Shared Trust - Anfield Universal Fixed Income ETF 1,366,348 1,420,665
2025-02-04 13G/A FDGR / Two Roads Shared Trust - Foundations Dynamic Growth ETF 35,297 34,823
2025-02-04 13G/A SEPM / First Trust Exchange-Traded Fund VIII - FT Vest U.S. Equity Max Buffer ETF - September 255,658 249,744
2025-02-04 13G/A FDCE / Two Roads Shared Trust - Foundations Dynamic Core ETF 36,326 37,890
2025-02-04 13G/A FLRT / Pacer Funds Trust - Pacer Pacific Asset Floating Rate High Income ETF 247,023 873,558
2025-01-22 13G DCMT / DoubleLine ETF Trust - DoubleLine Commodity Strategy ETF 614,742
2025-01-22 13G XIDE / First Trust Exchange-Traded Fund VIII - FT Vest U.S. Equity Buffer & Premium Income ETF - December 70,978
2025-01-22 13G XTJL / Innovator ETFs Trust - Innovator U.S. Equity Accelerated Plus ETF - July 33,218
2025-01-08 13G/A FDTB / Two Roads Shared Trust - Foundations Dynamic Income ETF 258,173 266,834
2025-01-08 13G/A DFVE / DoubleLine ETF Trust - DoubleLine Fortune 500 Equal Weight ETF 0 115,929
2025-01-08 13G FDVL / Two Roads Shared Trust - Foundations Dynamic Value ETF 999,203
2024-12-06 13G XISE / First Trust Exchange-Traded Fund VIII - FT Vest U.S. Equity Buffer & Premium Income ETF - September 835,858
2024-12-06 13G SEPM / First Trust Exchange-Traded Fund VIII - FT Vest U.S. Equity Max Buffer ETF - September 255,658
2024-12-06 13G/A TDSC / Exchange Listed Funds Trust - ETC Cabana Target Drawdown 10 ETF 12,485,073 4,732,907
2024-12-06 13G/A CLSM / Exchange Listed Funds Trust - ETC Cabana Target Leading Sector Moderate ETF 1,066,084 4,400,080
2024-12-06 13G FDGR / Two Roads Shared Trust - Foundations Dynamic Growth ETF 35,297
2024-12-06 13G FDTB / Two Roads Shared Trust - Foundations Dynamic Income ETF 258,173
2024-12-06 13G FDCE / Two Roads Shared Trust - Foundations Dynamic Core ETF 36,326
2024-12-06 13G/A AFIF / Two Roads Shared Trust - Anfield Universal Fixed Income ETF 806,507 1,366,348
2024-12-05 13G/A RPHS / Two Roads Shared Trust - Regents Park Hedged Market Strategy ETF 7,379,487 4,617,601
2024-12-05 13G/A AESR / Two Roads Shared Trust - Anfield U.S. Equity Sector Rotation ETF 2,910,864 4,945,978
2024-12-05 13G/A ADFI / Two Roads Shared Trust - Anfield Dynamic Fixed Income ETF 2,286,956 5,100,239
2024-12-05 13G/A UJUL / Innovator ETFs Trust - Innovator U.S. Equity Ultra Buffer ETF - July 867,196 1,284
2024-12-05 13G/A SFLR / Innovator ETFs Trust - Innovator Equity Managed Floor ETF 1,417,630 10,855
2024-12-05 13G/A FGM / First Trust Exchange-Traded AlphaDEX Fund II - First Trust Germany AlphaDEX Fund 114,826 484
2024-12-05 13G/A TDSB / Exchange Listed Funds Trust - ETC Cabana Target Beta ETF 3,539,610 2,666,959
2024-12-05 13G/A DFVE / DoubleLine ETF Trust - DoubleLine Fortune 500 Equal Weight ETF 42,432 0
2024-11-14 13G DFVE / DoubleLine ETF Trust - DoubleLine Fortune 500 Equal Weight ETF 42,432
2023-11-13 13G/A SFLR / Innovator ETFs Trust - Innovator Equity Managed Floor ETF 1,404,804 1,417,630
2023-11-13 13G/A TDSA / Exchange Listed Funds Trust - Cabana Target Drawdown 5 ETF 470,627 34,832
2023-10-06 13G/A AESR / Two Roads Shared Trust - Anfield U.S. Equity Sector Rotation ETF 2,001,189 2,910,864
2023-10-06 13G/A DALT / Two Roads Shared Trust - Anfield Diversified Alternatives ETF 3,224,714 3,641,959
2023-10-06 13G/A SFLR / Innovator ETFs Trust - Innovator Equity Managed Floor ETF 1,105,788 1,404,804
2023-10-06 13G/A RPHS / Two Roads Shared Trust - Regents Park Hedged Market Strategy ETF 2,001,189 7,379,487
2023-10-06 13G/A ADFI / Two Roads Shared Trust - Anfield Dynamic Fixed Income ETF 2,001,189 2,286,956
2023-10-06 13G/A TDSB / Exchange Listed Funds Trust - ETC Cabana Target Beta ETF 6,387,791 3,539,610
2023-09-11 13G FGM / First Trust Exchange-Traded AlphaDEX Fund II - First Trust Germany AlphaDEX Fund 114,826 114,826
2023-08-08 13G UJUL / Innovator ETFs Trust - Innovator U.S. Equity Ultra Buffer ETF - July 867,196
2023-08-08 13G SFLR / Innovator ETFs Trust - Innovator Equity Managed Floor ETF 1,105,788
2023-07-26 13G FLRT / Pacer Funds Trust - Pacer Pacific Asset Floating Rate High Income ETF 247,023 247,023
2023-07-11 13G/A DALT / Two Roads Shared Trust - Anfield Diversified Alternatives ETF 2,123,031 3,224,714
2023-07-11 13G/A TDSA / Exchange Listed Funds Trust - Cabana Target Drawdown 5 ETF 640,757 470,627
2023-07-11 13G/A TDSC / Exchange Listed Funds Trust - ETC Cabana Target Drawdown 10 ETF 22,124,190 12,485,073
2023-07-11 13G/A CLSA / Exchange Listed Funds Trust - Cabana Target Leading Sector Aggressive ETF 9,528,426 2,157,525
2023-07-11 13G/A ADFI / Two Roads Shared Trust - Anfield Dynamic Fixed Income ETF 1,304,620 2,001,189
2023-07-11 13G/A TDSD / Exchange Listed Funds Trust - Cabana Target Drawdown 13 ETF 5,605,930 3,235,969
2023-07-11 13G/A TDSE / Exchange Listed Funds Trust - Cabana Target Drawdown 16 ETF 3,592,606 1,994,293
2023-07-11 13G/A CLSC / Exchange Listed Funds Trust - Cabana Target Leading Sector Conservative ETF 388,519 1,301,109
2023-07-11 13G/A AESR / Two Roads Shared Trust - Anfield U.S. Equity Sector Rotation ETF 1,304,620 2,520,204
2023-04-07 13G/A TDSA / Exchange Listed Funds Trust - Cabana Target Drawdown 5 ETF 592,189 640,757
2023-04-07 13G/A CLSC / Exchange Listed Funds Trust - Cabana Target Leading Sector Conservative ETF 1,933,082 388,519
2023-01-26 13G ADFI / Two Roads Shared Trust - Anfield Dynamic Fixed Income ETF 1,304,620
2023-01-26 13G AESR / Two Roads Shared Trust - Anfield U.S. Equity Sector Rotation ETF 1,827,950
2023-01-26 13G AFIF / Two Roads Shared Trust - Anfield Universal Fixed Income ETF 806,507
2023-01-26 13G WLDR / Two Roads Shared Trust - Affinity World Leaders Equity ETF 282,667
2023-01-26 13G RPHS / Two Roads Shared Trust - Regents Park Hedged Market Strategy ETF 12,765,264
2023-01-26 13G DALT / Two Roads Shared Trust - Anfield Diversified Alternatives ETF 2,123,031
2023-01-26 13G CLSA / Exchange Listed Funds Trust - Cabana Target Leading Sector Aggressive ETF 9,528,426
2023-01-26 13G CLSC / Exchange Listed Funds Trust - Cabana Target Leading Sector Conservative ETF 1,933,082
2023-01-26 13G CLSM / Exchange Listed Funds Trust - ETC Cabana Target Leading Sector Moderate ETF 1,066,084
2023-01-26 13G TDSA / Exchange Listed Funds Trust - Cabana Target Drawdown 5 ETF 592,189
2023-01-26 13G TDSD / Exchange Listed Funds Trust - Cabana Target Drawdown 13 ETF 5,605,930
2023-01-26 13G TDSB / Exchange Listed Funds Trust - ETC Cabana Target Beta ETF 6,387,791
2023-01-26 13G TDSC / Exchange Listed Funds Trust - ETC Cabana Target Drawdown 10 ETF 22,124,190
2023-01-26 13G TDSE / Exchange Listed Funds Trust - Cabana Target Drawdown 16 ETF 3,592,606