FOUNTAINHEAD FINANCIAL, LLC
Adviser information for FOUNTAINHEAD FINANCIAL, LLC last updated from Form ADV on March 26th, 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 | Illinois, United States |
Employees
| Total Number of Employees | 3 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 0 |
| 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 | 0 | $0 |
| Non-Discretionary | 94 | $342.6M |
| Total | 94 | $342.6M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 27 | $25.0M |
| HNW Individuals | 68 | $317.6M |
| 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 | 0 | $0 |
| 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 |
| No. of Financial Planning Clients | 51-100 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMHourly charges |
| Other Business Activities | Insurance broker or agent |
Identifiers
| SEC RIA File Number | 801-70385 |
|---|---|
| SEC ERA File Number | 801-70385 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 150813 |
| Legal Entity Identifier | None |
Principal Office
515 NORTH STATE14TH FLOOR
CHICAGO
IL
United States
Monday - Friday, 8:30AM-5PM
Tel: 312-222-9840, Fax: 312-222-9834
Websites
Chief Compliance Officer
DOMINICK VETRANO
CHIEF COMPLIANCE OFFICER
515 NORTH STATE STREET
14 FLOOR
CHICAGO
IL
United States
Tel:
312-222-9840
Fax:
312-222-9834
D*******@***********************S
(Full email address available in API data)
Regulatory Contact
KEVIN WOZNIAK
PRINCIPAL
515 NORTH STATE
14 FLOOR
CHICAGO
IL
United States
Tel:
3122229840
Fax:
3122229834
K****@***********************S
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| VETRANO, DOMINICK, JOSEPH | Individual | – | MANAGING AND SOLE MEMBER & CHIEF COMPLIANCE OFFICER | 06/2009 | > 75% |