Hedge Fund Database

FOUNTAINHEAD AM, LLC

Adviser information for FOUNTAINHEAD AM, LLC last updated from Form ADV on March 28th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.

Advisory Business

Type of Organization Limited Liability Company
Fiscal Year End DECEMBER
Legal Location Delaware, United States

Employees

Total Number of Employees 6
Investment Advisory/Research 0
Registered Broker-Dealer Representatives 1
Registered State Investment Advisers 2
Licensed Agents of an Insurance Company 1
No. of Firms/People that Solicit Clients 0

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 3,128 $739.2M
Non-Discretionary 0 $0
Total 3,128 $739.2M

Clients

Type Number RAUM
Individuals 0 $0
HNW Individuals 0 $0
Banking or thrift institutions 0 $0
Investment companies 0 $0
Business development companies 0 $0
Pooled investment vehicles 0 $0
Pension and profit sharing plans 0 $0
Charitable organizations 0 $0
State or municipal gov entities 0 $0
Other investment advisers 5 $739.2M
Insurance companies 0 $0
Sovereign wealth funds and foreign official institutions 0 $0
Corporations or other businesses 0 $0
Other 0 $0
Type Number
No. of Non-RAUM Clients 0
No. of Non-U.S. Clients 0

Services

Advisory Services Portfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers)Educational seminars/workshops
Compensation % of AUMPLATFORM FEES

Identifiers

SEC RIA File Number 801-110874
SEC ERA File Number 801-110874
SEC CIK Numbers 1843581
SEC CRD Numbers 289000
Legal Entity Identifier None

Principal Office

10 INDEPENDENCE BLVD
WARREN
NJ
United States
Monday - Friday, 9-5
Tel: 732-346-1900, Fax: None

Websites

www.fountainheadam.com/ www.facebook.com/fountainheadam/ www.linkedin.com/company/fountainhead-am/

Chief Compliance Officer

JOSEPH HALPERN
CHIEF INVESTMENT OFFICER
10 INDEPENDENCE BLVD
WARREN
NJ
United States
Tel: 732-346-1900
(Full email address available in API data)

Regulatory Contact

ROBERT KLOTZ
COMPLIANCE OFFICER
10 INDEPENDENCE BLVD
WARREN
NJ
United States
Tel: 732-346-1900
(Full email address available in API data)

Industry Affiliates

EXCEED ADVISORY LLC Other investment adviser, including financial planners
FOUNTAINHEAD ADVISORS Other investment adviser, including financial plannersInsurance company or agency
FOUNTAINHEAD RETIREMENT SERVICES Other investment adviser, including financial planners

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
None

Control Persons

Name Type Entity Title Since Ownership
HALPERN, JOSEPH Individual – MANAGING MEMBER, CHIEF INVESTMENT OFFICER 05/2017 25-50%
ROCK, MARC, BRUCE Individual – MEMBER AND MANAGER 06/2017 25-50%
SILVER, SCOTT, HARRIS Individual – MEMBER 06/2017 25-50%
HALPERN, JOSEPH Individual – CHIEF COMPLIANCE OFFICER 02/2018 25-50%

No. Employees, Historic

105020192020202120222023202420253 on 7/12/20193 on 2/3/20203 on 3/30/20203 on 3/30/20216 on 3/24/20228 on 3/30/20236 on 3/28/2024

RAUM, Historic

800M400M02019202020212022202320242025182227279 on 7/12/2019182227279 on 2/3/2020257285230 on 3/30/2020347531303 on 3/30/2021510494600 on 3/24/2022515836252 on 3/30/2023739171878 on 3/28/2024

No. Clients, Historic

105020192020202120222023202420251 on 7/12/20191 on 2/3/20202 on 3/30/20202 on 3/30/20210 on 3/24/20220 on 3/30/20235 on 3/28/2024

Holdings

From latest 13F, filed July 26th, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
ABBVIE INC COM 260K 2K –
ADVANCED MICRO DEVICES INC COM 212K 1K –
AIRBNB INC COM CL A 393K 3K –
ALPHABET INC CAP STK CL A 1M 8K –
ALPHABET INC CAP STK CL C 771K 4K –
AMAZON COM INC COM 2M 13K –
AMERICAN EXPRESS CO COM 323K 1K –
APPLE INC COM 11M 52K –
ARK ETF TR INNOVATION ETF 215K 5K –
BANK AMERICA CORP COM 308K 8K –
BAUSCH HEALTH COS INC COM 3M 371K –
BELPOINTE PREP LLC UNIT RP LTD LB A 2M 42K –
BERKSHIRE HATHAWAY INC DEL CL B NEW 2M 4K –
BLACKROCK CAP ALLOCATION TER COM 861K 52K –
BLACKROCK ESG CAP ALLC TERM SHS BEN INT 806K 46K –
BLACKROCK INNOVATION AND GRW SHS BEN INT 774K 107K –
BLACKSTONE SECD LENDING FD COMMON STOCK 486K 16K –
BOEING CO COM 213K 1K –
BRISTOL-MYERS SQUIBB CO COM 707K 17K –
BROADCOM INC COM 2M 1K –
CHEVRON CORP NEW COM 391K 2K –
CISCO SYS INC COM 982K 21K –
COCA COLA CO COM 253K 4K –
COLGATE PALMOLIVE CO COM 321K 3K –
CROWDSTRIKE HLDGS INC CL A 210K 549 –
DISNEY WALT CO COM 338K 3K –
ECOFIN SUSTAINABLE AND SOCIA COM SH BEN INT 194K 17K –
ELEVANCE HEALTH INC COM 234K 432 –
ELI LILLY & CO COM 626K 691 –
EXCHANGE TRADED CONCEPTS TRU ROBO GLB ETF 15M 266K –
EXXON MOBIL CORP COM 573K 5K –
FIRST TR VALUE LINE DIVID IN SHS 9M 221K –
FS KKR CAP CORP COM 14M 729K –
GOLDMAN SACHS GROUP INC COM 323K 714 –
GRAYSCALE BITCOIN TR BTC SHS REP COM UT 862K 16K –
HOME DEPOT INC COM 323K 939 –
INNOVATOR ETFS TRUST US EQTY PWR BUF 252K 6K –
INTERNATIONAL BUSINESS MACHS COM 218K 1K –
INVESCO EXCH TRD SLF IDX FD INVSCO 30 CORP 252K 15K –
INVESCO EXCH TRD SLF IDX FD BULETSHS 2031 CP 317K 20K –
INVESCO EXCH TRD SLF IDX FD BULLETSHS 2032 332K 17K –
INVESCO EXCHANGE TRADED FD T S&P500 EQL WGT 285K 2K –
INVESCO QQQ TR UNIT SER 1 983K 2K –
ISHARES BITCOIN TR SHS 1M 40K –
ISHARES INC CORE MSCI EMKT 236K 4K –
ISHARES TR MSCI USA MIN VOL 638K 8K –
ISHARES TR INTL SEL DIV ETF 3M 110K –
ISHARES TR U.S. TECH ETF 220K 1K –
ISHARES TR RUS 2000 GRW ETF 286K 1K –
ISHARES TR CORE S&P SCP ETF 27M 251K –
ISHARES TR ISHARES SEMICDTR 329K 1K –
ISHARES TR IBOXX INV CP ETF 203K 2K –
ISHARES TR RUS 1000 VAL ETF 309K 2K –
ISHARES TR CORE US AGGBD ET 565K 6K –
ISHARES TR ESG AWARE MSCI 332K 9K –
ISHARES TR S&P 500 GRWT ETF 1M 13K –
ISHARES TR CORE MSCI EAFE 3M 41K –
ISHARES TR CORE S&P MCP ETF 337K 6K –
ISHARES TR S&P 500 VAL ETF 272K 1K –
ISHARES TR RUS 1000 ETF 58M 196K –
ISHARES TR EAFE VALUE ETF 15M 278K –
ISHARES TR EAFE GRWTH ETF 15M 146K –
ISHARES TR MSCI USA ESG SLC 1M 12K –
ISHARES TR CORE S&P500 ETF 24M 44K –
ISHARES TR SHORT TREAS BD 3M 29K –
ISHARES TR CYBERSECURITY 327K 7K –
J P MORGAN EXCHANGE TRADED F CORE PLUS BD ETF 457K 10K –
J P MORGAN EXCHANGE TRADED F ULTRA SHRT INC 15M 302K –
J P MORGAN EXCHANGE TRADED F JPMORGAN INTL VL 16M 280K –
J P MORGAN EXCHANGE TRADED F EQUITY PREMIUM 677K 12K –
JANUS DETROIT STR TR HENDRSON AAA CL 2M 33K –
JOHNSON & JOHNSON COM 368K 3K –
JPMORGAN CHASE & CO. COM 680K 3K –
KKR & CO INC COM 531K 5K –
LOCKHEED MARTIN CORP COM 245K 525 –
LOOP MEDIA INC COM NEW 2K 20K –
LOWES COS INC COM 310K 1K –
MANNKIND CORP COM NEW 52K 10K –
MARATHON PETE CORP COM 240K 1K –
MASTERCARD INCORPORATED CL A 234K 530 –
MERCK & CO INC COM 278K 2K –
META PLATFORMS INC CL A 303K 600 –
META PLATFORMS INC CL A 2M 5K –
MICROSOFT CORP COM 3M 6K –
MITSUBISHI UFJ FINL GROUP IN SPONSORED ADS 138K 13K –
NIKE INC CL B 554K 7K –
NIO INC SPON ADS 47K 11K –
NUSHARES ETF TR NUVEEN ESG INTL 547K 18K –
NUSHARES ETF TR NUVEEN ESG LRGVL 348K 9K –
NUSHARES ETF TR NUVEEN ESG LRGCP 422K 5K –
NVIDIA CORPORATION COM 7M 55K –
PACER FDS TR US CASH COWS 100 488K 9K –
PENN ENTERTAINMENT INC COM 3M 144K –
PFIZER INC COM 541K 19K –
PGIM ETF TR PGIM ULTRA SH BD 3M 65K –
PIONEER MUN HIGH INCOME OPPO COMMON STOCK 332K 29K –
PROCTER AND GAMBLE CO COM 734K 4K –
PRUDENTIAL FINL INC COM 288K 2K –
RACKSPACE TECHNOLOGY INC COM 36K 12K –
SALESFORCE INC COM 414K 2K –
SAMSARA INC COM CL A 2M 45K –
SCHWAB STRATEGIC TR US LCAP GR ETF 22M 220K –
SCHWAB STRATEGIC TR INTL EQTY ETF 493K 13K –
SCHWAB STRATEGIC TR US DIVIDEND EQ 450K 6K –
SELECT SECTOR SPDR TR ENERGY 268K 3K –
SELECT SECTOR SPDR TR TECHNOLOGY 743K 3K –
SELECT SECTOR SPDR TR INDL 220K 2K –
SELECT SECTOR SPDR TR SBI HEALTHCARE 433K 3K –
SELECT SECTOR SPDR TR SBI CONS DISCR 218K 1K –
SELECT SECTOR SPDR TR FINANCIAL 378K 9K –
SHOPIFY INC CL A 253K 4K –
SNOWFLAKE INC CL A 573K 4K –
SPDR GOLD TR GOLD SHS 237K 1K –
SPDR S&P 500 ETF TR TR UNIT 2M 4K –
SPDR SER TR SPDR S&P 500 ETF 223K 5K –
STARBUCKS CORP COM 31K 400 –
STARBUCKS CORP COM 216K 3K –
TESLA INC COM 3M 15K –
TEXAS PACIFIC LAND CORPORATI COM 2M 2K –
UNITED RENTALS INC COM 264K 409 –
UNITEDHEALTH GROUP INC COM 219K 430 –
UNUM GROUP COM 249K 5K –
VANECK ETF TRUST SEMICONDUCTR ETF 511K 2K –
VANGUARD INDEX FDS LARGE CAP ETF 22M 88K –
VANGUARD INDEX FDS GROWTH ETF 10M 27K –
VANGUARD INDEX FDS VALUE ETF 19M 117K –
VANGUARD INDEX FDS TOTAL STK MKT 345K 1K –
VANGUARD INDEX FDS S&P 500 ETF SHS 3M 7K –
VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 9M 210K –
VANGUARD SCOTTSDALE FDS VNG RUS1000GRW 203K 2K –
VANGUARD SCOTTSDALE FDS MTG-BKD SECS ETF 11M 242K –
VANGUARD SCOTTSDALE FDS SHORT TERM TREAS 14M 244K –
VANGUARD SPECIALIZED FUNDS DIV APP ETF 313K 2K –
VANGUARD WORLD FD HEALTH CAR ETF 269K 1K –
VANGUARD WORLD FD COMM SRVC ETF 351K 3K –
VANGUARD WORLD FD CONSUM DIS ETF 216K 693 –
VANGUARD WORLD FD INF TECH ETF 1M 2K –
VANGUARD WORLD FD FINANCIALS ETF 254K 3K –
VANGUARD WORLD FD INDUSTRIAL ETF 220K 937 –
VISA INC COM CL A 1M 4K –
WESTERN DIGITAL CORP. COM 243K 3K –
WISDOMTREE TR US QTLY DIV GRT 262K 3K –