FOUNTAINHEAD ADVISORS
FOUNTAINHEAD CAPITAL MANAGEMENT, LLC Legal Name
Adviser information for FOUNTAINHEAD ADVISORS 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 | New Jersey, United States |
Employees
| Total Number of Employees | 26 |
|---|---|
| Investment Advisory/Research | 13 |
| Registered Broker-Dealer Representatives | 2 |
| Registered State Investment Advisers | 19 |
| Licensed Agents of an Insurance Company | 8 |
| No. of Firms/People that Solicit Clients | 1 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 2,875 | $693.3M |
| Non-Discretionary | 86 | $28.3M |
| Total | 2,961 | $721.6M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 781 | $251.8M |
| HNW Individuals | 185 | $462.2M |
| 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 | <5 | $7.7M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 21 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 900 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPension consulting servicesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMFixed fees |
| Other Business Activities | Insurance broker or agent |
Identifiers
| SEC RIA File Number | 801-79472 |
|---|---|
| SEC ERA File Number | 801-79472 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 156185 |
| Legal Entity Identifier | None |
Principal Office
10 INDEPENDENCE BLVDSUITE 120
WARREN
NJ
United States
Monday - Friday, 9:00 AM TO 5:00 PM
Tel: 732-346-1900, Fax: 732-552-0042
Chief Compliance Officer
JOSEPH HALPERN
CHIEF INVESTMENT OFFICER
10 INDEPENDENCE BLVD
SUITE 120
WARREN
NJ
United States
Tel:
732-346-1900
Fax:
732-395-7125
J**@************************M
(Full email address available in API data)
Regulatory Contact
ROBERT KLOTZ
CHIEF HUMAN RESOURCE OFFICER
10 INDEPENDENCE BLVD
SUITE 120
WARREN
NJ
United States
Tel:
(732) 346-1900
Fax:
732-395-7125
R*****@************************M
(Full email address available in API data)
Industry Affiliates
| EXCEED ADVISORY LLC | Other investment adviser, including financial planners |
| FOUNTAINHEAD AM, LLC | Other investment adviser, including financial planners |
| FOUNTAINHEAD PROTECTION STRATEGIES, LLC | Insurance 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 |
|---|---|---|---|---|---|
| ROCK, MARC, BRUCE | Individual | – | MEMBER AND MANAGING PARTNER | 01/2011 | 25-50% |
| SILVER, SCOTT, HARRIS | Individual | – | MEMBER AND CHIEF FINANCIAL STRATEGIST | 03/2015 | 25-50% |
| HALPERN, JOSEPH | Individual | – | MEMBER, CHIEF INVESTMENT OFFICER AND CHIEF COMPLIANCE OFFICER | 02/2018 | 10-25% |
| KUTAKOFF, KERI, ROBYN | Individual | – | CHIEF OPERATING OFFICER | 01/2023 | < 5% |