DFX Intelligence

Data Factory

RIA / WealthRegistered advisermixed wealth managerSEC registeredRAUM 100m 1b

BALANZ

BALANZ ADVISORS LLC, CRD 322263

CORAL GABLES, FL

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:6d0357cb-698e-73ca-08a8-7740800154b3

Data as of Apr 2, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:21 AM UTC and rebuilt at most every 15 minutes.

Relationships: 18
Dated events: 10
On other graphs: 0
Observed: Oct 3, 2022 to Apr 2, 2026
15 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: mixed wealth managerderivedprivate_client_share=0.35 fund_share=0.64 institutional_share=0.0 related_bd=true related_bank=false bd_reps=4.0
Regulatory AUM: $153MItem 5.F on the latest filing (2026-04-02); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $29.6M
Private client RAUM: $54.0MderivedItem 5.D individuals plus high net worth individuals
Private client share: 35%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 8
RAUM per advisor: $19.1Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 11
Advisory employees: 4
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 66
Individual clients: 31
High net worth clients: 32
SEC number: 801-126818
CRD: 322263
Filings on the tape: 15
First filed: Oct 3, 2022
Latest filed: Apr 2, 2026
Organised: Limited Liability Company, FL
Website: balanz.us

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
DIEGO FERNANDO DAZA	n/a	CORAL GABLES, FL	2	10	1	yes
CHRISTOPHER JASON SHEA	n/a	CORAL GABLES, FL	2	26	3	yes
KEVIN IVES BARROS	n/a	CORAL GABLES, FL	2	13	n/a	yes
FERNANDO JOSE LANUS	n/a	CORAL GABLES, FL	0	16	n/a	yes
John DeBrito	n/a	CORAL GABLES, FL	0	10	1	yes
Federico Eduardo Francia Telesca	n/a	CORAL GABLES, FL	0	11	1	yes
ERIC RAMON SIMON	n/a	CORAL GABLES, FL	0	11	1	yes
RAFAEL LEONARDO MENDOZA	n/a	CORAL GABLES, FL	0	10	1	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
BALANZ CAPITAL GROUP S.A.	Shareholder	E	yes	09/2022	Oct 3, 2022	Mar 13, 2024
BALANZ HOLDINGS US LLC	SOLE MEMBER	E	yes	09/2021	Oct 3, 2022	Mar 13, 2024
BERNARDEZ, JUAN, CARLOS	Shareholder	F	yes	10/2010	Oct 3, 2022	Mar 13, 2024
BERNARDEZ, OCTAVIO	Shareholder	F	yes	10/2010	Oct 3, 2022	Mar 13, 2024
GANTER, RICHARD, LEO	CEO, PRINCIPAL	Na	yes	09/2022	Oct 3, 2022	Mar 13, 2024
LUCIER, ALFRED, ARTHUR	MANAGING DIRECTOR	Na	yes	09/2022	Oct 3, 2022	Mar 13, 2024
Morell, Marc, A	Cco	Na	yes	08/2023	Sep 11, 2023	Mar 13, 2024
PITA, ISABEL, NOEMI	Shareholder	F	yes	10/2010	Oct 3, 2022	Mar 13, 2024
PORCEL, CLAUDIO, FEDERICO	Shareholder	C	yes	10/2010	Oct 3, 2022	Mar 13, 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
BALANZ CAPITAL INTERNATIONAL INC.	n/a	n/a	n/a	N	yes	n/a
BALANZ CAPITAL UK LLP	n/a	n/a	n/a	N	yes	n/a
BALANZ CAPITAL VALORES S.A.U.	n/a	n/a	n/a	N	yes	n/a
BALANZ SOCIEDAD GERENTE FONDOS COMUNES DE INVERSION S.A.U.	n/a	n/a	n/a	N	yes	n/a
BALANZ URUGUAY AGENTE DE VALORES S.A.	n/a	n/a	n/a	N	yes	n/a
BALANZ URUGUAY S.A.	n/a	n/a	n/a	N	yes	n/a
FIRST GLOBAL TRADE LLP	n/a	n/a	n/a	N	yes	n/a

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 6

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Private funds	Fund GAV
2025	Apr 2, 2026	$153M	$29.6M	11	4	n/a	n/a
2024	Mar 19, 2025	$165M	$20.4M	5	2	n/a	n/a
2023	Mar 13, 2024	$266M	$0	9	3	n/a	n/a
2022	Mar 29, 2023	$0	$0	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
4	0	4	0.0%	1	0	0	6	0

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	$153M	$165M	-7.7%	$0	n/a	11	5	0	0

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
CITIGROUP GLOBAL MARKETS INC.	2	Oct 6, 2023	Nov 7, 2023	MIAMI, FL	Team lift out	Other	0.1%

Relationships

Registered with (8)

← RAFAEL LEONARDO MENDOZAAdvisorregistration: current employment
Jul 23, 2026 to presentfactForm ADV
← ERIC RAMON SIMONAdvisorregistration: current employment
May 5, 2026 to presentfactForm ADV
← Federico Eduardo Francia TelescaAdvisorregistration: current employment
Mar 25, 2026 to presentfactForm ADV
← John DeBritoAdvisorregistration: current employment
Mar 23, 2026 to presentfactForm ADV
← FERNANDO JOSE LANUSAdvisorregistration: current employment
Nov 10, 2025 to presentfactForm ADV
← KEVIN IVES BARROSAdvisorregistration: current employment
Apr 10, 2024 to presentfactForm ADV
← CHRISTOPHER JASON SHEAAdvisorregistration: current employment
Nov 7, 2023 to presentfactForm ADV
← DIEGO FERNANDO DAZAAdvisorregistration: current employment
Nov 6, 2023 to presentfactForm ADV

Controls (9)

← GANTER, RICHARD, LEOOwnerCEO, PRINCIPAL, ownership code NA, individual
Oct 3, 2022 to Mar 13, 2024factForm ADV
← Morell, Marc, AOwnerCCO, ownership code NA, individual
Sep 11, 2023 to Mar 13, 2024factForm ADV
← LUCIER, ALFRED, ARTHUROwnerMANAGING DIRECTOR, ownership code NA, individual
Oct 3, 2022 to Mar 13, 2024factForm ADV
← BERNARDEZ, OCTAVIOOwnerSHAREHOLDER, ownership code F, individual
Oct 3, 2022 to Mar 13, 2024factForm ADV
← PORCEL, CLAUDIO, FEDERICOOwnerSHAREHOLDER, ownership code C, individual
Oct 3, 2022 to Mar 13, 2024factForm ADV
← PITA, ISABEL, NOEMIOwnerSHAREHOLDER, ownership code F, individual
Oct 3, 2022 to Mar 13, 2024factForm ADV
← BERNARDEZ, JUAN, CARLOSOwnerSHAREHOLDER, ownership code F, individual
Oct 3, 2022 to Mar 13, 2024factForm ADV
← BALANZ CAPITAL GROUP S.A.OwnerSHAREHOLDER, ownership code E, foreign entity
Oct 3, 2022 to Mar 13, 2024factForm ADV
← BALANZ HOLDINGS US LLCOwnerSOLE MEMBER, ownership code E, domestic entity
Oct 3, 2022 to Mar 13, 2024factForm ADV

Moved with (1)

← CITIGROUP GLOBAL MARKETS INC.Registered adviser2 advisors, team lift out, same day
Oct 6, 2023 to Nov 7, 2023factForm ADV

Dated events

Occurred
Mar 19, 2025
Regulatory AUM changed
Balanz reported RAUM $165.3M, down 38% from $265.9M (2024-03-13 to 2025-03-19)
Form ADVobserved 5 days ago
$-101M
Occurred
Mar 13, 2024
Regulatory AUM changed
Balanz reported RAUM $265.9M, up 90% from $139.9M (2023-10-03 to 2024-03-13)
Form ADVobserved 5 days ago
$126M
Occurred
Oct 6, 2023
Team lift-out
2 advisors left Citigroup Global Markets Inc. (Miami, FL) for Balanz on the same day
Form ADVobserved 5 days ago
2 advisors
Occurred
Sep 11, 2023
Control person left
Paul Eric Hwang (Chief Compliance Officer) no longer on Schedule A of Balanz (listed 2023-04-06, absent 2023-09-11)
Form ADVobserved 5 days ago
Occurred
Sep 11, 2023
Control person joined
A Marc Morell (Cco) appeared on Schedule A of Balanz
Form ADVobserved 5 days ago
Occurred
Apr 5, 2023
Control person joined
Paul Eric Hwang (Chief Compliance Officer) appeared on Schedule A of Balanz
Form ADVobserved 5 days ago
Occurred
Apr 5, 2023
Control person left
Enrique Gabriel Gendler (Chief Compliance Officer) no longer on Schedule A of Balanz (listed 2023-03-29, absent 2023-04-05)
Form ADVobserved 5 days ago
Occurred
Nov 7, 2022
Control person left
A. Jorge Piedrahita (Chief Compliance Officer) no longer on Schedule A of Balanz (listed 2022-10-03, absent 2022-11-07)
Form ADVobserved 5 days ago
Occurred
Nov 7, 2022
Control person joined
Enrique Gabriel Gendler (Chief Compliance Officer) appeared on Schedule A of Balanz
Form ADVobserved 5 days ago
Occurred
Oct 3, 2022
First Form ADV filing
Balanz Advisors filed its initial SEC registration (Form ADV)
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6d0357cb-698e-73ca-08a8-7740800154b3
First observed: Oct 3, 2022
Last observed: Apr 2, 2026 5 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.

BALANZ

BALANZ ADVISORS LLC, CRD 322263

CORAL GABLES, FL

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:6d0357cb-698e-73ca-08a8-7740800154b3

Data as of Apr 2, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:21 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

DIEGO FERNANDO DAZA

n/a

CORAL GABLES, FL

yes

CHRISTOPHER JASON SHEA

n/a

CORAL GABLES, FL

yes

KEVIN IVES BARROS

n/a

CORAL GABLES, FL

n/a

yes

FERNANDO JOSE LANUS

n/a

CORAL GABLES, FL

n/a

yes

John DeBrito

n/a

CORAL GABLES, FL

yes

Federico Eduardo Francia Telesca

n/a

CORAL GABLES, FL

yes

ERIC RAMON SIMON

n/a

CORAL GABLES, FL

yes

RAFAEL LEONARDO MENDOZA

n/a

CORAL GABLES, FL

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BALANZ CAPITAL GROUP S.A.

Shareholder

yes

09/2022

Oct 3, 2022

Mar 13, 2024

BALANZ HOLDINGS US LLC

SOLE MEMBER

yes

09/2021

Oct 3, 2022

Mar 13, 2024

BERNARDEZ, JUAN, CARLOS

Shareholder

yes

10/2010

Oct 3, 2022

Mar 13, 2024

BERNARDEZ, OCTAVIO

Shareholder

yes

10/2010

Oct 3, 2022

Mar 13, 2024

GANTER, RICHARD, LEO

CEO, PRINCIPAL

yes

09/2022

Oct 3, 2022

Mar 13, 2024

LUCIER, ALFRED, ARTHUR

MANAGING DIRECTOR

yes

09/2022

Oct 3, 2022

Mar 13, 2024

Morell, Marc, A

Cco

yes

08/2023

Sep 11, 2023

Mar 13, 2024

PITA, ISABEL, NOEMI

Shareholder

yes

10/2010

Oct 3, 2022

Mar 13, 2024

PORCEL, CLAUDIO, FEDERICO

Shareholder

yes

10/2010

Oct 3, 2022

Mar 13, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

BALANZ CAPITAL INTERNATIONAL INC.

n/a

yes

n/a

BALANZ CAPITAL UK LLP

n/a

yes

n/a

BALANZ CAPITAL VALORES S.A.U.

n/a

yes

n/a

BALANZ SOCIEDAD GERENTE FONDOS COMUNES DE INVERSION S.A.U.

n/a

yes

n/a

BALANZ URUGUAY AGENTE DE VALORES S.A.

n/a

yes

n/a

BALANZ URUGUAY S.A.

n/a

yes

n/a

FIRST GLOBAL TRADE LLP

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Apr 2, 2026

$153M

$29.6M

n/a

2024

Mar 19, 2025

$165M

$20.4M

n/a

2023

Mar 13, 2024

$266M

n/a

2022

Mar 29, 2023

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

$153M

$165M

-7.7%

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

CITIGROUP GLOBAL MARKETS INC.

Oct 6, 2023

Nov 7, 2023

MIAMI, FL

Team lift out

Other

0.1%