Founders Capital Management provides financial planning, portfolio management for individuals and small businesses, and portfolio management for institutions.
Founders Capital Management reports 224 clients. They include 134 high-net-worth individuals, 83 individual clients and 6 charitable organizations. Of its assets, 88.1% ($810M across 452 accounts) are managed with discretion; $110M across 86 accounts are not.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 37% | 3% |
| High-net-worth individuals | 60% | 93% |
| Charitable organizations | 3% | 3% |
| Corporations and other businesses | <1% | <1% |
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 83 | $29.2M | 3.2% | $352K |
| High-net-worth individuals | 134 | $860M | 93.5% | $6.42M |
| Charitable organizations | 6 | $27.6M | 3.0% | $4.61M |
| Corporations and other businesses | Fewer than 5 | $3.26M | 0.4% | $3.26M |
| Total | 224 | $920M | 100% | — |
- Clients
- 83
- Regulatory AUM
- $29.2M
- AUM share
- 3.2%
- Avg. per client
- $352K
- Clients
- 134
- Regulatory AUM
- $860M
- AUM share
- 93.5%
- Avg. per client
- $6.42M
- Clients
- 6
- Regulatory AUM
- $27.6M
- AUM share
- 3.0%
- Avg. per client
- $4.61M
- Clients
- Fewer than 5
- Regulatory AUM
- $3.26M
- AUM share
- 0.4%
- Avg. per client
- $3.26M
Total
- Clients
- 224
- Regulatory AUM
- $920M
- AUM share
- 100%
- Avg. per client
- —
- Clients outside the U.S.
- 0%
- Clients advised without assets under management last fiscal year
- 0
- Private funds advised
- 0
- Financial planning clients last fiscal year
- 0
Founders Capital Management is paid through a percentage of assets under management. The reviewed brochures do not disclose an asset-based fee rate. Read the SEC-filed brochure.
Howard Case owns 50% to 75% of Founders Capital Management. The leadership team of Founders Capital Management includes Chief Compliance Officer Patrick Terrion. It has 5 employees, 4 of them in advisory roles.
Leadership
- Patrick TerrionChief Compliance Officer/Member
- Howard CaseMember
Investment adviser representatives
4 representatives listed in the SEC register as of 9 October 2026.
Staff
- 5 employees
- 4 in advisory functions
- 4 state-registered reps
- Owns 50% to 75% of Founders Capital Management, LLC
Howard Case
Control person · since November 2001
- Owns 50% to 75% of Founders Capital Management, LLC
Patrick Terrion
Control person · since November 2003
Founders Capital Management’s regulatory assets grew 1.9× from $474M (March 2021) to $920M (February 2026); clients rose from 174 to 224 and employees were 5 in both filings.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | Employees | Offices |
|---|---|---|---|---|
| February 2026 | $920M | 224 | 5 | 1 |
| June 2025 | $795M | 211 | 5 | 1 |
| February 2024 | $694M | 160 | 5 | 1 |
| April 2023 | $544M | 162 | 5 | 1 |
| February 2022 | $751M | 169 | 5 | 1 |
| March 2021 | $474M | 174 | 5 | 1 |
Besides its headquarters, Founders Capital Management has 0 offices, with 1 listed address in Connecticut.
Connecticut · 1 listed address
- One State Street, Suite 1700, HartfordHQ
Contact and registration details
- Legal name
- Founders Capital Management, LLC
- Headquarters
- One State Street, Suite 1700, Hartford, CT 06103
- Website
- foundcapital.com
- Phone
- 860-308-0061
- SEC file
- 801-60878
- Founded
- 2001
- Structure
- Connecticut LLC
- Fiscal year end
- December
Founders Capital Management uses Charles Schwab ($920M) as custodian for its separately managed accounts. Founders Capital Management has custody of $323M in client assets for 92 clients.
- Charles SchwabCharles Schwab & Co., Inc. · Westlake, TX · $920M100%
At year end, Founders Capital Management’s separately managed accounts were mostly in stocks (80%) and bonds (19%). Its reported 13F holdings for the quarter ended 30 June 2026 total $670M across 79 positions; the largest are Alphabet Inc. (23.3%), Berkshire Hathaway Inc. Del (10.5%) and Meta Platforms Inc. (7.8%).
What the accounts hold
- Stocks80%
- Bonds19%
- U.S. government and agency bonds17%
- State and local bonds1%
- Investment grade corporate bonds1%
- Cash1%
Reported 13F holdings
- $670M
- Reported 13F value
- 79
- Positions
- 70.4%
- In the 10 largest
- +10.1%
- Value vs. prior quarter
- Alphabet Inc. · Cap Stk CL C23.3%
- Berkshire Hathaway Inc. Del · CL B New10.5%
- Meta Platforms Inc. · CL A7.8%
- Microsoft Corp.6.8%
- Alphabet Inc. · Cap Stk CL A6.0%
- American Express CO3.8%
- Fedex Corp.3.2%
- Apple Inc.3.2%
- State Str SPDR S&P 500 ETF T · TR Unit3.0%
- CSX Corp.2.9%
Together, the ten largest are 70.4% of reported value.
How many clients does Founders Capital Management have?
Founders Capital Management has 224 clients and manages $920 million for them, as of February 2026. They include 134 high-net-worth individuals, 83 individual clients and 6 charitable organizations.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 25 February 2026
What services does Founders Capital Management offer?
Founders Capital Management provides financial planning, portfolio management for individuals and small businesses, and portfolio management for institutions.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file
Which custodians does Founders Capital Management use?
Founders Capital Management’s separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $920M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 25 February 2026
How many financial advisors does Founders Capital Management have?
Founders Capital Management has 4 investment adviser representatives registered with state securities authorities, out of 5 employees, and 4 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.
Source: Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file
What does Founders Capital Management invest in?
At the end of its last fiscal year, Founders Capital Management’s separately managed accounts held 80% exchange-traded equities, 17% U.S. government and agency bonds, 1% state and local bonds, 1% investment grade corporate bonds and 1% cash and equivalents.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns Founders Capital Management?
Founders Capital Management’s direct owners are Howard Case (50% to 75%) and Patrick Terrion (50% to 75%).
Source: Form ADV Part 1A, Schedules A and B, filed 25 February 2026
How does Founders Capital Management get paid?
Founders Capital Management is paid through a percentage of assets under management. Its Form ADV lists no commissions or performance-based fees among how it is paid.
Source: Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file
Is Founders Capital Management registered with the SEC?
Yes, Founders Capital Management has been registered with the SEC as an investment adviser since 30 January 2002. Its CRD number is 118853 and its SEC file number is 801-60878.
Source: Form ADV Part 1A, Item 1, filed 25 February 2026; IAPD firm record
How do I contact Founders Capital Management?
Founders Capital Management’s main office is at One State Street, Suite 1700, Hartford, CT 06103. Its phone number is 860-308-0061. Its website is foundcapital.com.