SEC-registered firm
Registration does not mean the SEC approves or recommends the firm, and it does not imply a certain level of skill or training.
Fountainhead Financial, LLC
Chicago, IL
CRD 150813
Firm filing updated March 31, 2026 ·
- $543.2MAssets
- 100Clients
- 2Advisory staff
- 100Accounts
Fees and minimums
- Hourly feesAsk the firm for the rate
All fee types on the form
- Percentage of assets under managementYes
- Hourly chargesYes
- CommissionsYes
- Fixed feesNo
- Subscription fees (for a newsletter or periodical)No
- Performance-based feesNo
- OtherNo
Who the firm serves
- High net worth individuals82
- Individuals14
- Pension and profit sharing plans3
- Charities1
See the client table
| Client type | Approximate number of clients | Assets |
|---|---|---|
| Individuals (other than high net worth) | 14 | $8.1 million |
| High net worth individuals | 82 | $531.4 million |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 3 | $2.5 million |
| Charitable organizations | 1 | $1.2 million |
What the client labels mean
Here, "individuals" includes trusts, estates, and IRAs of individuals. A "high net worth individual" is a qualified client or qualified purchaser.
Services
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Financial planning services
- Portfolio management for individuals and/or small businesses
Assets and accounts
- Regulatory assets$543.2 million
- Accounts100
People
- Employees3
- Advisory staff2
- Broker-dealer reps0
- Licensed insurance agents1
- Planning clients51 to 100
Registration details
- SEC-registered investment advisor. CRD 150813, SEC file 801-70385.
- Registered with the SEC as an investment advisor (status date on record: July 27, 2009).
Is Fountainhead Financial, LLC a fiduciary?
Short answer: Fountainhead Financial, LLC is registered with the SEC as an investment advisor.
More detail
Some of its people may also act in other roles, such as for a broker-dealer or as insurance agents, where different rules apply. Details below.
The SEC put it this way in 2019: 'Under federal law, an investment adviser is a fiduciary.'
1 staff member is a licensed insurance agent and the firm is itself an insurance broker or agent.
The firm's Form CRS explains its services, fees and conflicts in plain language: Form CRS.
About this data
Informational only. Advisable Finance is not an investment advisor, does not give investment advice, and does not endorse any advisor.