F
Fountain Financial & Tax
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Total assets under management
$12,235,803
Total clients
91
0% high-net worth
Total advisors
1
of 1 employees
Firm size
Independent
1 advisor
Average clients per advisor
91
Average account size
$134,459
About
The firm provides discretionary asset management to individuals, high-net-worth clients, trusts, estates and charitable organizations, delivering portfolio management and investment planning tailored to documented client goals and risk tolerances. It also operates an affiliated tax preparation and legal practice and the firm’s principal is licensed to sell insurance products, which are offered to clients as separate, commission-based services.
Investment decisions are guided by fundamental analysis and a mix of strategies that include long- and short-term purchases, option writing, and other derivative instruments; the firm exercises discretionary trading authority and performs quarterly account reviews. The firm documents client objectives and may pursue tax-aware actions such as rebalancing and tax-loss harvesting when appropriate.
Distinctive features include the firm’s integration with an accounting/tax and legal practice—its principal spends a substantial portion of time on those services—and a licensed insurance practice, both of which are disclosed as potential conflicts of interest and managed through disclosures and policies. The use of derivatives and option strategies in separately managed accounts and the acceptance of charitable organization clients are uncommon among similar solo independent advisers and may influence portfolio construction and advisory recommendations.
Client services
Portfolio management
Expertise
Options & derivatives strategies
Tax-loss harvesting
Income planning
Fee options
1% annually, flat fee on total assets under management
Investment Advisor Representative receives commissions on insurance products sold separately
Main office location
Fountain Financial & Tax
400 N Main St.
Harrison AR 72601, United States
Number of offices
1
Most active in
Fountain Financial & Tax has reported serving >5 clients in these states in the last 12 months.
Arkansas
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
Is not active or affiliated with:
-
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
-
Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
-
Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
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