# Fountainhead Financial, LLC

> Fountainhead Financial, LLC is an SEC-registered investment advisory firm in Chicago, IL, registered since 2009, reporting $500 million to $1 billion in regulatory assets under management in its Form ADV filing dated March 31, 2026.

- CRD: 150813
- Filed as: FOUNTAINHEAD FINANCIAL, LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Chicago, IL
- Filing period: October 2026
- Form ADV filing dated: March 31, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/150813
- AdvisorCensus page: https://advisorcensus.com/firm/fountainhead-financial-llc-chicago-il-150813

## Quick answers

**How is Fountainhead Financial, LLC compensated?**
On its Form ADV (Item 5.E, October 2026), Fountainhead Financial, LLC reports these compensation arrangements: a percentage of assets under its management; hourly charges; commissions. The amounts are in Item 5 of its Form ADV Part 2A brochure.

**Where is Fountainhead Financial, LLC located?**
Fountainhead Financial, LLC's principal office is in Chicago, IL, according to its Form ADV.

**Is Fountainhead Financial, LLC registered with the SEC or a state?**
Fountainhead Financial, LLC is an SEC-registered investment advisory firm, registered since 2009. Status as filed: Approved. CRD 150813.

**How much does Fountainhead Financial, LLC manage?**
Fountainhead Financial, LLC reports $543,200,211 in regulatory assets under management in its Form ADV filing dated March 31, 2026 (0% discretionary).

**How have Fountainhead Financial, LLC's assets and staff changed since 2021?**
In the Form ADV data for Fountainhead Financial, LLC: Regulatory assets under management: $280,300,000 in the October 2021 data and $543,200,211 in the October 2026 data, up 94%. Total employees: 3 in October 2021 and 3 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Fountainhead Financial, LLC serve?**
By number of clients on Form ADV Item 5.D: high net worth individuals (82); individuals (other than high net worth individuals) (14); pension and profit sharing plans (but not the plan participants or government pension plans) (3).

**Which custodians does Fountainhead Financial, LLC use?**
Fountainhead Financial, LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. as a custodian holding 10% or more of its separately managed account assets.

**Does Fountainhead Financial, LLC report any disciplinary disclosures?**
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/150813

**What changed in Fountainhead Financial, LLC's recent Form ADV filings?**
In the April 2026 filing data: Regulatory assets under management went from $453,485,481 to $543,200,211 (+20%).

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Hourly charges
- Commissions

### Custodians (Schedule D, Section 5.K(3))
- Charles Schwab & Co., Inc.

Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.

### Regulatory assets under management (Item 5.F)
- Total: $543,200,211
- Discretionary: $0
- Non-discretionary: $543,200,211

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 14 | $8,062,485 |
| High net worth individuals | 82 | $531,425,092 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles (other than investment companies and business development companies) | 0 | $0 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 3 | $2,512,129 |
| Charitable organizations | 1 | $1,200,505 |
| State or municipal government entities (including government pension plans) | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses not listed above | 0 | $0 |
| Other | 0 | $0 |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses

### Firm details
- Registered since: 2009 (17 years)
- Employees: 3 total, 2 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: IL, NH, TX
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- fountainheadfinancial.us

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $280,300,000 | 3 | March 29, 2021 |
| October 2022 | $308,000,000 | 3 | March 30, 2022 |
| October 2023 | $264,284,171 | 3 | March 29, 2023 |
| October 2024 | $342,550,898 | 3 | March 26, 2024 |
| October 2025 | $453,485,481 | 3 | March 27, 2025 |
| October 2026 | $543,200,211 | 3 | March 31, 2026 |

Regulatory assets under management: $280,300,000 in the October 2021 data and $543,200,211 in the October 2026 data, up 94%.
Total employees: 3 in October 2021 and 3 in October 2026.

## Changes in the filing (last 12 months)

### April 2026
- Regulatory assets under management went from $453,485,481 to $543,200,211 (+20%).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Fountainhead Financial, LLC (CRD 150813): Form ADV filing data as of October 2026.