DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Former SEC-registered adviser

Fountainhead Advisors

Former SEC-registered adviserWarren, New JerseyCRD 156185SEC 801-79472websiteIAPD
Legal name Fountainhead Capital Management, LLC
Latest filing Jun 23, 2025
First filing on the tape Mar 25, 2014 · 37 filings
SEC status approved since Apr 4, 2014
RAUM
$1.0B
reported, Item 5.F
Discretionary
91%
of RAUM
Private clients
100%
$1.0B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
28
18 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
37 filings and snapshots on the tape
RAUM$1.0B as of Jun 23, 2025
Mar 25, 2015$129M then
HNW client RAUM$736M as of Jun 23, 2025
Mar 29, 2018$86.7M then
State-registered IARs (5.B.3)18 as of Jun 23, 2025
Mar 25, 20158 then
Employees (5.A)28 as of Jun 23, 2025
Mar 25, 201513 then
Private funds: no history
RAUM +41% over the last fiscal year+26% a year over threeIARs 19 to 18
Practice profile
derived from the filing of Jun 23, 2025; every figure names its basis
RAUM per advisor
$56.7MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
72derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.8MderivedHNW RAUM over HNW clients
Average account
$273,227derivedRAUM over accounts (5.F.2.f)
Discretionary
91%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.6derivedItem 5.A over advisors
Advisors per office
6.0derived3 offices incl. principal (1.F.5)
RAUM growth, one year
+41%derivedbetween the last two annual amendments
Advisor growth, one year
-5.3%derivedItem 5.B.3 between annual amendments
Client growth, one year
+33%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisers, publicationsreportedItem 5.G
Financial planning clients
1,000reportedItem 5.H
Custody
$388M, 1,130 clientsreportedItem 9.A
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • is an insurance broker or agent (6.A.6)
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • has custody of client cash or bank accounts (9.A.1.a)
  • marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$736M72%
  • Individuals$284M28%
Individual clients
1,029reported
HNW clients
260reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
3,733reported
Financial planning clients
1,000reported
Wrap fee programs
noreported
Custody of client assets
$388M for 1,130 clientsreported
Compensation
% of AUM, fixedreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
21 left, 0 joined in 12 months
net -21 in 12 months0 left in 90 days0 joined in 90 days23 left over 36 months
Left, latest
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
Teams outTeams in
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Joseph Halpern · Member, Chief Investment Officer And Chief Compliance Officercontrol
    since 02/2018 · owns 10% to 25%
  • Robyn Keri Kutakoff · Chief Operating Officercontrol
    since 01/2023 · owns less than 5%
  • Bruce Marc Rock · Member And Managing Partnercontrol
    since 01/2011 · owns 25% to 50%
  • Harris Scott Silver · Member And Chief Financial Strategistcontrol
    since 03/2015 · owns 25% to 50%
Related persons
Schedule D 7.A
Advisers that list Fountainhead Advisors as a related person
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Danville, Ca001
Leola, Pa001
San Ramon, Ca0031
Walnut Creek, Ca001
Warren, Nj · principal00152
Offices
Schedule D 1.F, the 25 largest
  • San Ramon, CA3 employees
  • New York, NY1 employees
What changed
consecutive filings, newest first
  • Financial planning clients · More than 500 to More than 500
    May 7, 2025 to Jun 23, 2025
  • Accounts · 2,961 to 3,733
    Jun 20, 2024 to Mar 31, 2025
  • Advisory employees · 13 to 18
    Jun 20, 2024 to Mar 31, 2025
  • HNW clients · 185 to 260
    Jun 20, 2024 to Mar 31, 2025
  • Individual clients · 781 to 1,029
    Jun 20, 2024 to Mar 31, 2025
  • Assets in custody · $450M to $388M
    Jun 20, 2024 to Mar 31, 2025
  • Employees · 26 to 28
    Jun 20, 2024 to Mar 31, 2025
  • State-registered IARs · 19 to 18
    Jun 20, 2024 to Mar 31, 2025
  • Discretionary RAUM · $693M to $927M
    Jun 20, 2024 to Mar 31, 2025
  • HNW RAUM · $462M to $736M
    Jun 20, 2024 to Mar 31, 2025
  • Individual RAUM · $252M to $284M
    Jun 20, 2024 to Mar 31, 2025
  • Non-discretionary RAUM · $28.3M to $92.9M
    Jun 20, 2024 to Mar 31, 2025
  • RAUM · $722M to $1.0B
    Jun 20, 2024 to Mar 31, 2025
  • Accounts · 2,403 to 2,961
    Sep 12, 2023 to Mar 28, 2024
  • Advisory activities · 5 to 4
    Sep 12, 2023 to Mar 28, 2024
  • HNW clients · 131 to 185
    Sep 12, 2023 to Mar 28, 2024
  • Individual clients · 733 to 781
    Sep 12, 2023 to Mar 28, 2024
  • Assets in custody · $311M to $450M
    Sep 12, 2023 to Mar 28, 2024
  • Employees · 23 to 26
    Sep 12, 2023 to Mar 28, 2024
  • State-registered IARs · 15 to 19
    Sep 12, 2023 to Mar 28, 2024
  • Discretionary RAUM · $475M to $693M
    Sep 12, 2023 to Mar 28, 2024
  • HNW RAUM · $283M to $462M
    Sep 12, 2023 to Mar 28, 2024
  • Individual RAUM · $216M to $252M
    Sep 12, 2023 to Mar 28, 2024
  • Non-discretionary RAUM · $32.0M to $28.3M
    Sep 12, 2023 to Mar 28, 2024
  • RAUM · $507M to $722M
    Sep 12, 2023 to Mar 28, 2024
  • Accounts · 2,544 to 2,403
    Apr 12, 2022 to Mar 30, 2023
  • Advisory employees · 12 to 13
    Apr 12, 2022 to Mar 30, 2023
  • Business name · FOUNTAINHEAD CAPITAL MANAGEMENT, LLC to FOUNTAINHEAD ADVISORS
    Apr 12, 2022 to Mar 30, 2023
  • HNW clients · 161 to 131
    Apr 12, 2022 to Mar 30, 2023
  • Individual clients · 661 to 733
    Apr 12, 2022 to Mar 30, 2023
  • Assets in custody · $313M to $311M
    Apr 12, 2022 to Mar 30, 2023
  • Employees · 22 to 23
    Apr 12, 2022 to Mar 30, 2023
  • Insurance-licensed employees · 11 to 0
    Apr 12, 2022 to Mar 30, 2023
  • State-registered IARs · 0 to 15
    Apr 12, 2022 to Mar 30, 2023
  • Discretionary RAUM · $482M to $475M
    Apr 12, 2022 to Mar 30, 2023
  • HNW RAUM · $329M to $283M
    Apr 12, 2022 to Mar 30, 2023
  • Individual RAUM · $186M to $216M
    Apr 12, 2022 to Mar 30, 2023
  • Non-discretionary RAUM · $33.8M to $32.0M
    Apr 12, 2022 to Mar 30, 2023
  • RAUM · $516M to $507M
    Apr 12, 2022 to Mar 30, 2023
  • Accounts · 2,043 to 2,544
    Sep 15, 2021 to Mar 24, 2022
Signals
36 dated events
  • Fountainhead Advisors no longer on the SEC adviser roster (last listed 2026-01-02, RAUM $1.0B)
    Feb 2, 2026 · Left the SEC roster · derived
  • Gaetano Anthony Sacco left Fountainhead Advisors for Lido (registered 2025-12-08)
    Jan 8, 2026 · Advisor changed firm · fact
  • Luke Constantine Foukas left Fountainhead Advisors for Lido (registered 2025-12-09)
    Jan 8, 2026 · Advisor changed firm · fact
  • Michael Ernest Benevento left Fountainhead Advisors for Lido (registered 2025-12-05)
    Jan 8, 2026 · Advisor changed firm · fact
  • Steven James Ralff left Fountainhead Advisors for Lido (registered 2025-12-05)
    Jan 8, 2026 · Advisor changed firm · fact
  • Bryce James Bednorz left Fountainhead Advisors for Lido (registered 2025-12-09)
    Jan 8, 2026 · Advisor changed firm · fact
  • Scott Harris Silver left Fountainhead Advisors for Lido (registered 2025-12-09)
    Jan 8, 2026 · Advisor changed firm · fact
  • Timothy Thomas Walsh left Fountainhead Advisors for Lido (registered 2025-12-08)
    Jan 8, 2026 · Advisor changed firm · fact
  • James William Diehl left Fountainhead Advisors for Lido (registered 2025-12-09)
    Jan 8, 2026 · Advisor changed firm · fact
  • Stephen Zhou left Fountainhead Advisors for Lido (registered 2025-12-08)
    Jan 8, 2026 · Advisor changed firm · fact
  • Ryan Craig Erlanger left Fountainhead Advisors for Lido (registered 2025-12-09)
    Jan 8, 2026 · Advisor changed firm · fact
  • Marc Bruce Rock left Fountainhead Advisors for Lido (registered 2025-12-09)
    Jan 8, 2026 · Advisor changed firm · fact
  • Duy H Le left Fountainhead Advisors for Lido (registered 2025-12-05)
    Jan 8, 2026 · Advisor changed firm · fact
  • Jason J Lee left Fountainhead Advisors for Lido (registered 2025-12-08)
    Jan 8, 2026 · Advisor changed firm · fact
  • Eric Christopher Furstner left Fountainhead Advisors for Lido (registered 2025-12-09)
    Jan 8, 2026 · Advisor changed firm · fact
  • Yeugenia Napoli left Fountainhead Advisors for Lido (registered 2025-12-08)
    Jan 8, 2026 · Advisor changed firm · fact
  • Joseph Halpern left Fountainhead Advisors for Obsidian Cio Llc (registered 2017-07-28)
    Jan 8, 2026 · Advisor changed firm · fact
  • Robert Philip Renshaw left Fountainhead Advisors for Obsidian Cio Llc (registered 2017-07-28)
    Jan 8, 2026 · Advisor changed firm · fact
  • Wesley Mitsuo Yamada left Fountainhead Advisors for Lido (registered 2025-12-09)
    Jan 8, 2026 · Advisor changed firm · fact
  • 5 advisors left Fountainhead Advisors (San Ramon, CA) for Lido on the same day
    Jan 8, 2026 · Team lift-out · derived
  • Fountainhead Advisors's advisors moved to Lido (Warren, NJ): 11 of 18 registered, on the same day
    Jan 8, 2026 · Firm absorbed (people side) · derived
  • 2 advisors left Fountainhead Advisors (Warren, NJ) for Obsidian Cio LLC on the same day
    Jan 8, 2026 · Team lift-out · derived
  • Ellis King Chandler left Fountainhead Advisors for Stark Wealth Management Llc (registered 2026-01-11)
    Dec 2, 2025 · Advisor changed firm · fact
  • Scott J Clements left Fountainhead Advisors for Rmr Wealth Management (registered 2025-12-02)
    Nov 14, 2025 · Advisor changed firm · fact
  • Richard Thomas Tattory left Fountainhead Advisors for Rmr Wealth Management (registered 2025-11-19)
    Nov 14, 2025 · Advisor changed firm · fact
  • 2 advisors left Fountainhead Advisors (Warren, NJ) for Rmr Wealth Management on the same day
    Nov 14, 2025 · Team lift-out · derived
  • 2 advisors left MML Investors Services, LLC (Walnut Creek, CA) for Fountainhead Advisors within 3 days
    May 5, 2025 · Team lift-out · derived
  • Fountainhead Advisors reported RAUM $1.0B, up 41% from $721.6M (2024-06-20 to 2025-03-31)
    Mar 31, 2025 · RAUM change · derived
  • Jacob Woody left Fountainhead Advisors for Rbc Capital Markets, Llc (registered 2025-09-03)
    Jan 7, 2025 · Advisor changed firm · fact
  • Ryan Keane Lam left Fountainhead Advisors for Beacon Pointe Advisors, Llc (registered 2024-12-06)
    Nov 19, 2024 · Advisor changed firm · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
Provenance
Form ADV
SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
Advisors
IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
Class
Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor
n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026