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RIA / WealthAdvisordual registered (broker-dealer)13 years in industry

Brandon Balazi

Advisor at SATURNA CAPITAL CORPORATION

BELLINGHAM, WA | Chicago, IL

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Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:14 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Apr 18, 2013 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

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

Current firm: SATURNA CAPITAL CORPORATION
Current firm class: asset managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Apr 18, 2013earliest registration or exam on IAPD
Years in industry: 13derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Apr 10, 2026
First registration: Apr 18, 2013
Dual registered: yes, broker-dealer
Other names: BRANDON BALAZI|BRANDON M BALAZI
IAPD individual key: 6045024

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
SATURNA CAPITAL CORPORATION	Asset manager	Apr 10, 2026	n/a	yes	BELLINGHAM, WA\|Chicago, IL	Current employment
ASTOR INVESTMENT MANAGEMENT LLC	Former SEC adviser	May 19, 2015	Feb 15, 2023	no	CHICAGO, IL	Previous registration
CEDAR CAPITAL, LLC	Former SEC adviser	Feb 25, 2015	Apr 15, 2015	no	GLEN ELLYN, IL	Previous registration
ASTOR INVESTMENT MANAGEMENT LLC	Former SEC adviser	Jan 2, 2014	Oct 20, 2014	no	CHICAGO, IL	Previous registration
B. RILEY WEALTH ADVISORS, INC.	Bd affiliated wealth	Jul 25, 2013	Jan 8, 2014	no	CHICAGO, IL	Previous registration
ASTOR ASSET MANAGEMENT LLC	Former SEC adviser	Apr 18, 2013	Jul 15, 2013	no	CHICAGO, IL	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
ASTOR INVESTMENT MANAGEMENT LLC	SATURNA CAPITAL CORPORATION	Feb 15, 2023	Apr 10, 2026	1,150	Firm change after gap	Other
CEDAR CAPITAL, LLC	ASTOR INVESTMENT MANAGEMENT LLC	Apr 15, 2015	May 19, 2015	34	Firm change	Other
ASTOR INVESTMENT MANAGEMENT LLC	CEDAR CAPITAL, LLC	Oct 20, 2014	Feb 25, 2015	128	Firm change	Other
B. RILEY WEALTH ADVISORS, INC.	ASTOR INVESTMENT MANAGEMENT LLC	Jan 8, 2014	Jan 2, 2014	-6	Firm change	Other
ASTOR ASSET MANAGEMENT LLC	B. RILEY WEALTH ADVISORS, INC.	Jul 15, 2013	Jul 25, 2013	10	Firm change	Other

Relationships

Registered with (5)

→ SATURNA CAPITAL CORPORATIONRegistered adviserregistration: current employment
Apr 10, 2026 to presentfactForm ADV
→ ASTOR INVESTMENT MANAGEMENT LLCRegistered adviserregistration: previous registration
May 19, 2015 to Feb 15, 2023factForm ADV
→ CEDAR CAPITAL, LLCRegistered adviserregistration: previous registration
Feb 25, 2015 to Apr 15, 2015factForm ADV
→ B. RILEY WEALTH ADVISORS, INC.Registered adviserregistration: previous registration
Jul 25, 2013 to Jan 8, 2014factForm ADV
→ ASTOR ASSET MANAGEMENT LLCRegistered adviserregistration: previous registration
Apr 18, 2013 to Jul 15, 2013factForm ADV

Dated events

Occurred
Feb 15, 2023
Advisor changed firm
Brandon Balazi left Astor Investment Management Llc for Saturna Capital Corporation (registered 2026-04-10)
Form ADVobserved 6 days ago