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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

A4 WEALTH ADVISORS LLC

CRD 152397

HUNTERSVILLE, NC

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:4316ff07-cabf-8861-fa98-daa86b5b6c20

Data as of May 27, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:05 AM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 4
On other graphs: 0
Observed: May 6, 2022 to May 27, 2026
29 observations

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

Firm class: independent wealth managerderivedprivate_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=1.0
Regulatory AUM: $214MItem 5.F on the latest filing (2026-05-27); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $204M
Private client RAUM: $214MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 8
RAUM per advisor: $26.7Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 8
Advisory employees: 8
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 1,366
Individual clients: 441
High net worth clients: 146
Custody, client assets: $5.0M
SEC number: 801-125825
CRD: 152397
Filings on the tape: 29
First filed: May 6, 2022
Latest filed: May 27, 2026
Organised: Limited Liability Company, NC
Website: a4cfp.com

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
JOHN BURKE BALCERZAK	Certified Financial Planner	HUNTERSVILLE, NC	16	29	5	no
Shauntae E Funkhouser	n/a	HUNTERSVILLE, NC	4	10	1	no
Heather Marie Fowler	n/a	HUNTERSVILLE, NC	2	11	n/a	no
Zachary Alan Spainhour	Certified Financial Planner	HUNTERSVILLE, NC	2	18	2	no
Conrad Jordan Phillips	n/a	HUNTERSVILLE, NC	1	15	2	no
Cory Michael Esposito	Certified Financial Planner	HUNTERSVILLE, NC	1	11	2	no
Micheal James Foster	n/a	HUNTERSVILLE, NC	0	10	2	no
KAYLYNNE ELISE WILLIS	n/a	HUNTERSVILLE, NC	0	16	2	no

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
BALCERZAK, JOHN, BURKE	MANAGING MEMBER	E	yes	04/2010	May 6, 2022	Oct 24, 2024
Fowler, Heather, Marie	CHIEF COMPLIANCE OFFICER/ INVESTMENT ADVISOR REPRESENTATIVE	Na	yes	04/2024	May 1, 2024	Oct 24, 2024

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
JOHN BALCERZAK	n/a	n/a	n/a	N	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Charlotte	Nc	United States	2	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line; showing 4 of 7

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 26, 2026	$214M	$204M	6	6	1	n/a	n/a
2024	Mar 18, 2025	$176M	$163M	5	5	1	n/a	n/a
2023	Mar 28, 2024	$137M	$116M	4	4	2	n/a	n/a
2022	Mar 31, 2023	$126M	$97.6M	3	3	2	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
2	0	2	0.0%	0	0	0	5	1

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$214M	$176M	21.4%	$126M	19.2%	8	5	1	1

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
HORNOR, TOWNSEND & KENT, LLC	2	May 26, 2026	May 27, 2026	CHARLOTTE, NC	Team lift out	RIA to RIA	0.4%

Relationships

Registered with (9)

← Micheal James FosterAdvisorregistration: current employment
May 27, 2026 to presentfactForm ADV
← KAYLYNNE ELISE WILLISAdvisorregistration: current employment
May 27, 2026 to presentfactForm ADV
← Cory Michael EspositoAdvisorregistration: current employment
Aug 15, 2025 to presentfactForm ADV
← Conrad Jordan PhillipsAdvisorregistration: current employment
Jan 17, 2025 to presentfactForm ADV
← Zachary Alan SpainhourAdvisorregistration: current employment
Aug 19, 2024 to presentfactForm ADV
← Heather Marie FowlerAdvisorregistration: current employment
May 1, 2024 to presentfactForm ADV
← Shauntae E FunkhouserAdvisorregistration: current employment
Mar 15, 2022 to presentfactForm ADV
← JOHN BURKE BALCERZAKAdvisorregistration: current employment
Jun 4, 2010 to presentfactForm ADV
← Matthew Spencer LongAdvisorregistration: previous registration
May 1, 2023 to Nov 14, 2023factForm ADV

Moved with (1)

← HORNOR, TOWNSEND & KENT, LLCRegistered adviser2 advisors, team lift out, same day
May 26, 2026 to May 27, 2026factForm ADV

Controls (2)

← BALCERZAK, JOHN, BURKEOwnerMANAGING MEMBER, ownership code E, individual
May 6, 2022 to Oct 24, 2024factForm ADV
← Fowler, Heather, MarieOwnerCHIEF COMPLIANCE OFFICER/ INVESTMENT ADVISOR REPRESENTATIVE, ownership code NA, individual
May 1, 2024 to Oct 24, 2024factForm ADV

Dated events

Occurred
May 26, 2026
Team lift-out
2 advisors left Hornor, Townsend & Kent, LLC (Charlotte, NC) for A4 Wealth Advisors LLC on the same day
Form ADVobserved 5 days ago
2 advisors
Occurred
May 1, 2024
Control person joined
Marie Heather Fowler (Chief Compliance Officer/ Investment Advisor Representative) appeared on Schedule A of A4 Wealth Advisors Llc
Form ADVobserved 5 days ago
Occurred
Nov 14, 2023
Advisor changed firm
Matthew Spencer Long left A4 Wealth Advisors Llc for 11 Financial (registered 2024-01-02)
Form ADVobserved 5 days ago
Occurred
May 6, 2022
First Form ADV filing
A4 Wealth Advisors Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4316ff07-cabf-8861-fa98-daa86b5b6c20
First observed: May 6, 2022
Last observed: May 27, 2026 3 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

A4 WEALTH ADVISORS LLC

CRD 152397

HUNTERSVILLE, NC

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:4316ff07-cabf-8861-fa98-daa86b5b6c20

Data as of May 27, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:05 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

JOHN BURKE BALCERZAK

Certified Financial Planner

HUNTERSVILLE, NC

Shauntae E Funkhouser

n/a

HUNTERSVILLE, NC

Heather Marie Fowler

n/a

HUNTERSVILLE, NC

n/a

Zachary Alan Spainhour

Certified Financial Planner

HUNTERSVILLE, NC

Conrad Jordan Phillips

n/a

HUNTERSVILLE, NC

Cory Michael Esposito

Certified Financial Planner

HUNTERSVILLE, NC

Micheal James Foster

n/a

HUNTERSVILLE, NC

KAYLYNNE ELISE WILLIS

n/a

HUNTERSVILLE, NC

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BALCERZAK, JOHN, BURKE

MANAGING MEMBER

yes

04/2010

May 6, 2022

Oct 24, 2024

Fowler, Heather, Marie

CHIEF COMPLIANCE OFFICER/ INVESTMENT ADVISOR REPRESENTATIVE

yes

04/2024

May 1, 2024

Oct 24, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

JOHN BALCERZAK

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

Charlotte

United States

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 26, 2026

$214M

$204M

n/a

2024

Mar 18, 2025

$176M

$163M

n/a

2023

Mar 28, 2024

$137M

$116M

n/a

2022

Mar 31, 2023

$126M

$97.6M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$214M

$176M

21.4%

$126M

19.2%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

HORNOR, TOWNSEND & KENT, LLC

May 26, 2026

May 27, 2026

CHARLOTTE, NC

Team lift out

RIA to RIA

0.4%