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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

FOUNTAIN FINANCIAL ASSOCIATES, INC.

CRD 174760

WILMINGTON, NC

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:74ab9588-8389-2b5f-c3ff-d6cea3339028

Data as of Feb 3, 2020 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 12:28 PM UTC and rebuilt at most every 15 minutes.

Relationships: 14
Dated events: 1
On other graphs: 1
Observed: Feb 26, 2015 to Feb 3, 2020
16 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Allocatorsidentity

Fountain Financial Associates, Inc.

Investment consultant · shared crd

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $405MItem 5.F on the latest filing (2020-02-03); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $405M
Private client RAUM: $383MderivedItem 5.D individuals plus high net worth individuals
Private client share: 95%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 11
Advisory employees: 5
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 974
Individual clients: 284
High net worth clients: 132
Custody, client assets: $200M
SEC number: 801-81086
CRD: 174760
Filings on the tape: 16
First filed: Feb 26, 2015
Latest filed: Feb 3, 2020
Organised: Corporation, North Carolina

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
FOUNTAIN, VINTON, EARL	PRESIDENT & CHIEF COMPLIANCE OFFICER	E	yes	05/1998	Feb 26, 2015	Feb 3, 2020
BEAM, FRANCIS, MARTIN	VICE PRESIDENT	B	no	11/2010	Feb 26, 2015	Feb 3, 2020
RILEY, CHRISTOPHER, MARK	SHAREHOLDER/VICE PRESIDENT	A	no	01/2016	Mar 15, 2016	Feb 3, 2020

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
CAPFINANCIAL PARTNERS, LLC	n/a	Institutional manager	$1237B	N	yes	n/a
CAPFINANCIAL SECURITIES, LLC.	n/a	Former SEC adviser	$116B	N	yes	n/a
PENSIONMARK FINANCIAL GROUP, LLC	n/a	Other adviser	$72B	N	yes	n/a

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2018	Feb 20, 2019	$405M	$405M	11	5	0	n/a	n/a
2017	Mar 15, 2018	$384M	$384M	9	4	0	n/a	n/a
2016	Feb 21, 2017	$335M	$335M	10	4	n/a	n/a	n/a
2015	Mar 15, 2016	$288M	$288M	9	4	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2018	$405M	$384M	5.4%	$288M	12.1%	11	9	0	0

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
Captrust	5	Mar 30, 2020	Jul 30, 2020	WILMINGTON, NC	Firm absorbed	Other	100.0%

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
CETERA ADVISOR NETWORKS LLC	2	Jun 8, 2015	Jun 17, 2015	WILMINGTON, NC	Team lift out	Other	0.4%

Relationships

Affiliated with (3)

→ CAPTRUST FINANCIAL ADVISORSRegistered adviserbroker-dealer, common control
factForm ADV
→ CAPTRUSTRegistered adviserother investment adviser, common control
factForm ADV
→ WORLD INVESTMENT ADVISORS, LLCRegistered adviserother investment adviser, common control
factForm ADV

Owns (2)

← RILEY, CHRISTOPHER, MARKOwnerSHAREHOLDER/VICE PRESIDENT, ownership code A, individual
Mar 15, 2016 to presentfactForm ADV
← BEAM, FRANCIS, MARTINOwnerVICE PRESIDENT, ownership code B, individual
Feb 26, 2015 to presentfactForm ADV

Controls (1)

← FOUNTAIN, VINTON, EARLOwnerPRESIDENT & CHIEF COMPLIANCE OFFICER, ownership code E, individual
Feb 26, 2015 to presentfactForm ADV

Moved with (2)

→ CAPTRUSTRegistered adviser5 advisors, firm absorbed, same day
Mar 30, 2020 to Jul 30, 2020factForm ADV
← CETERA ADVISOR NETWORKS LLCRegistered adviser2 advisors, team lift out
Jun 8, 2015 to Jun 17, 2015factForm ADV

Registered with (6)

← CHRISTOPHER MARK RILEYAdvisorregistration: previous registration
Jun 17, 2015 to Mar 30, 2020factForm ADV
← VINTON EARL FOUNTAINAdvisorregistration: previous registration
Jun 8, 2015 to Mar 30, 2020factForm ADV
← FRANCIS MARTIN BEAMAdvisorregistration: previous registration
Mar 27, 2015 to Mar 30, 2020factForm ADV
← ROBERT FRANKLIN WARWICKAdvisorregistration: previous registration
Aug 2, 2018 to Mar 30, 2020factForm ADV
← Brice Sawyer GibsonAdvisorregistration: previous registration
Dec 7, 2015 to Mar 30, 2020factForm ADV
← Dorothy Ann SperryAdvisorregistration: previous registration
Apr 29, 2016 to Aug 17, 2016factForm ADV

Dated events

Occurred
Feb 26, 2015
First Form ADV filing
Fountain Financial Associates, Inc. filed its initial SEC registration (Form ADV)
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:74ab9588-8389-2b5f-c3ff-d6cea3339028
First observed: Feb 26, 2015
Last observed: Feb 3, 2020 80 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

FOUNTAIN FINANCIAL ASSOCIATES, INC.

CRD 174760

WILMINGTON, NC

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:74ab9588-8389-2b5f-c3ff-d6cea3339028

Data as of Feb 3, 2020 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 12:28 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

FOUNTAIN, VINTON, EARL

PRESIDENT & CHIEF COMPLIANCE OFFICER

yes

05/1998

Feb 26, 2015

Feb 3, 2020

BEAM, FRANCIS, MARTIN

VICE PRESIDENT

11/2010

Feb 26, 2015

Feb 3, 2020

RILEY, CHRISTOPHER, MARK

SHAREHOLDER/VICE PRESIDENT

01/2016

Mar 15, 2016

Feb 3, 2020

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

CAPFINANCIAL PARTNERS, LLC

n/a

Institutional manager

$1237B

yes

n/a

CAPFINANCIAL SECURITIES, LLC.

n/a

Former SEC adviser

$116B

yes

n/a

PENSIONMARK FINANCIAL GROUP, LLC

n/a

Other adviser

$72B

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2018

Feb 20, 2019

$405M

n/a

2017

Mar 15, 2018

$384M

n/a

2016

Feb 21, 2017

$335M

n/a

2015

Mar 15, 2016

$288M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2018

$405M

$384M

5.4%

$288M

12.1%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

Captrust

Mar 30, 2020

Jul 30, 2020

WILMINGTON, NC

Firm absorbed

Other

100.0%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

CETERA ADVISOR NETWORKS LLC

Jun 8, 2015

Jun 17, 2015

WILMINGTON, NC

Team lift out

Other

0.4%