{ "crd_number": 123364, "slug": "fountain-financial-group-inc-fountain-hills-az-123364", "primary_business_name": "FOUNTAIN FINANCIAL GROUP, INC.", "legal_name": "FOUNTAIN FINANCIAL GROUP, INC.", "dbas": [], "city": "Fountain Hills", "state": "AZ", "country": "United States", "cbsa_code": "38060", "metro": { "cbsa_code": "38060", "common_name": "Phoenix", "msa_name": "Phoenix-Mesa-Chandler, AZ", "path": "/advisors/az/phoenix" }, "registration_type": "state", "registration_status": "APPROVED", "registration_date": "2003-10-14", "years_registered": 22, "period": "2026-10-01", "filing_date": "2026-05-07", "carried_forward": false, "raum_total": 38100000.0, "raum_discretionary": 38100000.0, "raum_non_discretionary": 0.0, "raum_band": "25m_100m", "raum_band_label": "$25 million to $100 million", "total_employees": 5, "advisory_employees": 3, "client_count_bucket": null, "clients_by_type": { "charitable": { "raum": 200000.0, "count": 3 }, "individuals": { "raum": 28400000.0, "count": 58 }, "high_net_worth_individuals": { "raum": 9500000.0, "count": 6 } }, "compensation_types": [ "fixed", "hourly", "percentage_of_aum" ], "advisory_activities": [ "educational_seminars", "financial_planning", "portfolio_management_individuals", "selection_of_other_advisers" ], "wrap_fee_participant": false, "disclosure_yes_count": 2, "states_registered": [ "AZ", "MN", "TX" ], "websites": [ "https://fountainwealth.com", "https://linkedin.com/in/mark-d-johnson-cfp%C2%AE-cka%C2%AE-904222a", "https://twitter.com/FOUNTAINWEALTH" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/123364", "disclosure_items": [ { "item": "11.D(2)", "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was involved in a violation of investment-related regulations or statutes?" }, { "item": "11.D(5)", "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever denied, suspended, or revoked the registration or license of the firm or an advisory affiliate, prevented either by order from associating with an investment-related business, or restricted either one's activity?" } ], "city_as_filed": "FOUNTAIN HILLS", "url": "https://advisorcensus.com/firm/fountain-financial-group-inc-fountain-hills-az-123364", "display_name": "Fountain Financial Group, Inc.", "summary": "Fountain Financial Group, Inc. is a state-registered investment advisory firm in Fountain Hills, AZ, registered since 2003, reporting $25 million to $100 million in regulatory assets under management in its Form ADV filing dated May 7, 2026.", "citation": "AdvisorCensus. Fountain Financial Group, Inc. (CRD 123364): Form ADV filing data as of October 2026.", "registration_type_label": "State-registered investment adviser", "compensation_labels": [ "A percentage of assets under your management", "Hourly charges", "Fixed fees (other than subscription fees)" ], "advisory_activity_labels": [ "Financial planning services", "Portfolio management for individuals and/or small businesses", "Selection of other advisers (including private fund managers)", "Educational seminars/workshops" ], "quick_answers": [ { "q": "How is Fountain Financial Group, Inc. compensated?", "a": "On its Form ADV (Item 5.E, October 2026), Fountain Financial Group, Inc. reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees). The amounts are in Item 5 of its Form ADV Part 2A brochure." }, { "q": "Where is Fountain Financial Group, Inc. located?", "a": "Fountain Financial Group, Inc.'s principal office is in Fountain Hills, AZ, according to its Form ADV." }, { "q": "Is Fountain Financial Group, Inc. registered with the SEC or a state?", "a": "Fountain Financial Group, Inc. is a state-registered investment advisory firm, registered since 2003. Status as filed: APPROVED. CRD 123364." }, { "q": "How much does Fountain Financial Group, Inc. manage?", "a": "Fountain Financial Group, Inc. reports $38,100,000 in regulatory assets under management in its Form ADV filing dated May 7, 2026 (100% discretionary)." }, { "q": "What types of clients does Fountain Financial Group, Inc. serve?", "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (58); high net worth individuals (6); charitable organizations (3)." }, { "q": "Does Fountain Financial Group, Inc. report any disciplinary disclosures?", "a": "Reports 2 disclosure items on Form ADV Item 11: yes answers to 11.D(2) (another regulator's finding of a violation) and 11.D(5) (another regulator's denial, suspension, or revocation of a registration or license, bar, or restriction). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/123364" } ], "filing_history": [], "recent_changes": [], "fees_from_brochure": null, "custodians": [], "custodians_note": null, "markdown_url": "https://advisorcensus.com/firm/fountain-financial-group-inc-fountain-hills-az-123364.md", "clients": [ { "type": "individuals", "label": "Individuals (other than high net worth individuals)", "count": 58, "fewer_than_5": false, "raum": 28400000.0 }, { "type": "high_net_worth_individuals", "label": "High net worth individuals", "count": 6, "fewer_than_5": false, "raum": 9500000.0 }, { "type": "charitable", "label": "Charitable organizations", "count": 3, "fewer_than_5": false, "raum": 200000.0 } ], "disclosure_line": "Reports 2 disclosure items on Form ADV Item 11.", "indexable": true, "suppressed": false, "claimed": false, "enhanced": false, "provided_by_the_firm": null, "source": { "name": "Form ADV", "as_of": "2026-10-01", "iapd_url": "https://adviserinfo.sec.gov/firm/summary/123364", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }