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

Fountain Financial Associates, Inc.

Former SEC-registered adviserWilmington, North CarolinaCRD 174760SEC 801-81086IAPD
Latest filing Feb 3, 2020
First filing on the tape Feb 26, 2015 · 16 filings
RAUM
$405M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
95%
$383M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
11
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$405M as of Feb 20, 2019
Mar 15, 2016$288M then
HNW client RAUM$306M as of Feb 20, 2019
Mar 15, 2018$292M then
State-registered IARs (5.B.3)5 as of Feb 20, 2019
Mar 15, 20164 then
Employees (5.A)11 as of Feb 20, 2019
Mar 15, 20169 then
Private funds: no history
RAUM +5.4% over the last fiscal year+12% a year over threeIARs 4 to 5
Practice profile
derived from the filing of Feb 3, 2020; every figure names its basis
RAUM per advisor
$81.0MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
83derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.3MderivedHNW RAUM over HNW clients
Average account
$415,759derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
4.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.2derivedItem 5.A over advisors
Advisors per office
5.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+5.4%derivedbetween the last two annual amendments
Advisor growth, one year
+25%derivedItem 5.B.3 between annual amendments
Client growth, one year
+4.5%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
Wrap fee program
$405MreportedItem 5.I
Ownership
controlled by a public reporting companyderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • 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 securities (9.A.1.b)
  • controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$306M76%
  • Individuals$76.8M19%
  • Pension and profit-sharing plans$16.1M4.0%
  • Corporations and businesses$4.3M1.1%
  • Charitable organizations$1.6M0.4%
Individual clients
284reported
HNW clients
132reported
Pension plan clients
11reported
Charitable clients
n/areported
Accounts
974reported
Financial planning clients
0reported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
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
Left, 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
  • Earl Vinton Fountain · President & Chief Compliance Officercontrol
    since 05/1998 · owns 75% or more
  • Martin Francis Beam · Vice President
    since 11/2010 · owns 10% to 25%
  • Mark Christopher Riley · Shareholder/Vice President
    since 01/2016 · owns 5% to 10%
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Related adviser · false to true
    Feb 20, 2019 to Feb 3, 2020
  • Related broker-dealer · false to true
    Feb 20, 2019 to Feb 3, 2020
  • Accounts · 923 to 974
    Oct 19, 2018 to Feb 20, 2019
  • BD registered reps · 4 to 5
    Oct 19, 2018 to Feb 20, 2019
  • Corporate clients · 7 to 8
    Oct 19, 2018 to Feb 20, 2019
  • HNW clients · 124 to 132
    Oct 19, 2018 to Feb 20, 2019
  • Individual clients · 274 to 284
    Oct 19, 2018 to Feb 20, 2019
  • Pension plan clients · 8 to 11
    Oct 19, 2018 to Feb 20, 2019
  • Assets in custody · $190M to $200M
    Oct 19, 2018 to Feb 20, 2019
  • Employees · 10 to 11
    Oct 19, 2018 to Feb 20, 2019
  • Discretionary RAUM · $384M to $405M
    Oct 19, 2018 to Feb 20, 2019
  • HNW RAUM · $292M to $306M
    Oct 19, 2018 to Feb 20, 2019
  • Individual RAUM · $77.2M to $76.8M
    Oct 19, 2018 to Feb 20, 2019
  • Pension RAUM · $8.6M to $16.1M
    Oct 19, 2018 to Feb 20, 2019
  • RAUM · $384M to $405M
    Oct 19, 2018 to Feb 20, 2019
  • Wrap assets (sponsor) · $384M to $0
    Oct 19, 2018 to Feb 20, 2019
  • Advisory employees · 4 to 5
    Mar 15, 2018 to Oct 19, 2018
  • Employees · 9 to 10
    Mar 15, 2018 to Oct 19, 2018
  • State-registered IARs · 4 to 5
    Mar 15, 2018 to Oct 19, 2018
  • Accounts · 811 to 923
    Aug 8, 2017 to Mar 15, 2018
  • Corporate clients · unset to 7.0
    Aug 8, 2017 to Mar 15, 2018
  • HNW clients · unset to 124.0
    Aug 8, 2017 to Mar 15, 2018
  • Individual clients · unset to 274.0
    Aug 8, 2017 to Mar 15, 2018
  • Pension plan clients · unset to 8.0
    Aug 8, 2017 to Mar 15, 2018
  • Assets in custody · unset to 190244294.0
    Aug 8, 2017 to Mar 15, 2018
  • Employees · 10 to 9
    Aug 8, 2017 to Mar 15, 2018
  • Other offices · unset to 0.0
    Aug 8, 2017 to Mar 15, 2018
  • Discretionary RAUM · $335M to $384M
    Aug 8, 2017 to Mar 15, 2018
  • HNW RAUM · unset to 292249832.0
    Aug 8, 2017 to Mar 15, 2018
  • Individual RAUM · unset to 77208837.0
    Aug 8, 2017 to Mar 15, 2018
  • Pension RAUM · unset to 8621647.0
    Aug 8, 2017 to Mar 15, 2018
  • RAUM · $335M to $384M
    Aug 8, 2017 to Mar 15, 2018
  • Wrap assets (manager) · unset to 0.0
    Aug 8, 2017 to Mar 15, 2018
  • Wrap assets (sponsor) · unset to 384265616.0
    Aug 8, 2017 to Mar 15, 2018
  • Accounts · 718 to 811
    Aug 16, 2016 to Feb 21, 2017
  • Advisory activities · 4 to 5
    Aug 16, 2016 to Feb 21, 2017
  • Employees · 9 to 10
    Aug 16, 2016 to Feb 21, 2017
  • Discretionary RAUM · $288M to $335M
    Aug 16, 2016 to Feb 21, 2017
  • RAUM · $288M to $335M
    Aug 16, 2016 to Feb 21, 2017
  • Accounts · 656 to 718
    Dec 8, 2015 to Mar 15, 2016
Signals
1 dated events
  • Fountain Financial Associates, Inc. filed its initial SEC registration (Form ADV)
    Feb 26, 2015 · First SEC registration · 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