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Trisha Lynn Fountain

Advisor at ROCKEFELLER FINANCIAL Llc — Lafollette, TN

Updated today

Credentials

Series 66

Experience

19 years

Location

Lafollette, TN

ROCKEFELLER FINANCIAL Llc logo

ROCKEFELLER FINANCIAL Llc

Enterprise

Total advisors

1,034

Across 134 offices

Clients per advisor

46 Low

Avg AUM per client

$1,718,381 Very High

HNW client ratio

32% High

About

Trisha Fountain is a financial advisor at Rockefeller Financial LLC with 19 years of industry experience. She holds a Series 66 designation and previously worked at UBS Financial Services for seven years. Outside of her advisory role, she participates in a family-owned food vending business selling funnel cakes at seasonal events. Rockefeller Financial LLC serves ultra-high and high-net-worth individuals, families, family offices, charities, corporations, and retirement plans by providing wealth management, financial planning, portfolio management, and retirement plan consulting. The firm integrates wealth, trust, and insurance services through its Rockefeller Global Family Office platform and offers access to alternative and private investments.

Client services

Based on ROCKEFELLER FINANCIAL Llc

Financial planning Portfolio management Pension consulting Selection of other advisers

Expertise

Based on ROCKEFELLER FINANCIAL Llc

Wealth management Retirement plans for business owners (SEP, solo 401k) Business exit / sale strategy Charitable giving & philanthropy

Occupation focus

Based on ROCKEFELLER FINANCIAL Llc

Founder/Business Owner Retired

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Fee options

Fixed

Flat fees charged for certain financial planning reports and analyses

Percentage

$0+: up to 2% annually for Non-Discretionary Investment Advisory and Consulting Services $0+: up to 1.25% annually for Retirement Plan Services (asset-based fee) $0+: up to 0.60% annually for Rockefeller Personalized Portfolios program fee (based on average daily balance)

Commissions

Commission or transaction-based compensation for brokerage services and distribution fees/placement fees for certain alternative investments

Project-based

Hourly rates charged for financial planning services, if applicable

Other

Minimum fee: No minimum fee for Non-Discretionary Investment Advisory and Consulting Services; $5,000 minimum annual fee for Retirement Plan Services Fee-only: Flat fees or hourly fees for Financial Planning Services, negotiable and vary based on scope

Location

See office

Lafollette, TN

Lafollette TN

Advisors at this office

1

Most active in

Kentucky · Ohio · Tennessee

Work history

19 years of industry experience

Rockefeller Financial llc

2023 - Present • 3 years

Lafollette, TN

Rockefeller Financial llc

2021 - 2023 • 2 years

Cincinnati, OH

UBS Financial Services

2014 - 2021 • 7 years

Cincinnati, OH

Disclosures

Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.

Business activities & affiliations

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Gary G

ChFC®, Series 66

LaFollette, TN

Tlg Advisors, Inc.

Gary Gray is a financial advisor at TLG Advisors, Inc. with 42 years of industry experience. He holds the ChFC® designation and Series 66 license. His prior experience includes roles at Nationwide Securities, LLC and Nationwide Insurance Company, as well as operating Gray Consulting Services since 2018, where he provides financial services consulting. TLG Advisors, Inc. serves a diverse client base including individuals, high-net-worth clients, trusts, charitable organizations, corporations, and institutional investors. The firm focuses on manager selection and ongoing monitoring using fundamental analysis and Modern Portfolio Theory, offering investment supervisory services and portfolio management through a network of independent representatives and sub-advisors.

Wealth management Passive / index investing Active portfolio management General estate planning guidance Business ownership considerations Founder/Business Owner Retired
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James O

Series 65

Caryville, TN

LPL Financial

James Oneill is a financial advisor with LPL Financial, holding a Series 65 designation and four years of industry experience. His prior work includes roles at Great Valley, Arthur Lea Investments, and an 11-year tenure at Fifth Third Bank. LPL Financial is an SEC-registered investment adviser and broker-dealer serving a broad client base including individuals, retirement plans, banks, corporations, and charitable organizations. The firm offers a range of financial planning and advisory programs, combining discretionary and non-discretionary management with access to model portfolios and research from multiple sources.

College savings (529s, UTMA, etc.)
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Erica C

Series 66, Series 63

Lafollette, TN

Cetera

Erica Corbin is a financial advisor with Cetera, holding Series 66 and Series 63 licenses and five years of industry experience. Her career includes roles at Cetera Investment Services LLC, Y-12 Federal Credit Union, NYLIFE Securities LLC, New York Life Insurance Co, Vipkid HK Limited, and Center for Sight. Cetera Investment Advisers LLC serves a broad client base including individuals, retirement plans, corporate and charitable clients, and institutional accounts. The firm offers a multi-manager platform with diverse portfolio management options and access to multiple program structures and third-party managers.

Wealth management Tax-loss harvesting Retirement plans for business owners (SEP, solo 401k) Business exit / sale strategy Founder/Business Owner Executive
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Homer B

Series 63, Series 66

LaFollette, TN

OSAIC

Homer Braden is a financial advisor with OSAIC, holding Series 63 and Series 66 licenses and 25 years of industry experience. His previous roles include tenures at Woodbury Financial Services and First Allied Advisory Services. Outside of his advisory work, he serves as a poll worker for the City of Waterloo. OSAIC Wealth, Inc. serves a diverse client base, including individuals, high-net-worth investors, and institutional clients, through a large network of advisers and multiple advisory platforms. The firm offers integrated brokerage and advisory services, using asset-allocation tools and third-party solutions to construct portfolios across various asset classes.

Annuities Wealth management Tax-loss harvesting Private / alternative investments Retirement plans for business owners (SEP, solo 401k) Founder/Business Owner Executive
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Michael C

Series 66

La Follette, TN

Edward Jones

Michael Childress is a financial advisor at Edward Jones with two years of industry experience. Prior to joining Edward Jones, he operated Childress Appraisals, a real estate appraisal business in Knoxville, Tennessee, for sixteen years. Edward Jones is a full-service wealth management firm serving individual and institutional clients with a range of advisory programs, discretionary and non-discretionary managed solutions, and affiliated investment products. The firm manages approximately $1.01 trillion in assets and maintains a large network of financial advisors and branch offices nationwide.

Wealth management Tax-loss harvesting Multi-generational wealth transfer Retired Founder/Business Owner Executive
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Kevin K

Series 63, Series 66

Campbell, TN

LPL Financial

Kevin Kruchko is a financial advisor with LPL Financial, holding Series 63 and Series 66 licenses and 15 years of industry experience. He previously worked at Charles Schwab & Co., Inc. for 12 years before joining LPL Financial in 2022. LPL Financial is an SEC-registered investment adviser and broker-dealer serving individuals, retirement plans, financial institutions, corporations, and charitable organizations. The firm offers a range of advisory programs, financial planning, and brokerage services, utilizing model portfolios, third-party subadvisors, and various technology-driven investment strategies.

College savings (529s, UTMA, etc.)
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