DFX Intelligence

Data Factory

RIA / WealthAdvisordual registered (broker-dealer)22 years in industry

RYAN M. BALON

Advisor at UBS FINANCIAL SERVICES INC.

BOSTON, MA | Cumberland, RI

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:75d5cf19-0734-2227-2a32-5f5ff90c6f3b

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 9:16 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Mar 16, 2004 to Sep 14, 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: UBS FINANCIAL SERVICES INC.
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Feb 26, 2004earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 13derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Feb 26, 2004
First registration: Mar 16, 2004
Dual registered: yes, broker-dealer
Other names: RYAN M BALON
IAPD individual key: 4550399

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
UBS FINANCIAL SERVICES INC.	Wirehouse	Oct 19, 2012	n/a	yes	BOSTON, MA\|Cumberland, RI	Current employment
CLEARPATH WEALTH MANAGEMENT, LLC	Former SEC adviser	Jan 14, 2011	Sep 28, 2012	no	PROVIDENCE, RI	Previous registration
MORGAN STANLEY & CO. LLC	n/a	Apr 2, 2007	Dec 20, 2007	no	PROVIDENCE, RI	Previous registration
MORGAN STANLEY DW INC.	n/a	Mar 16, 2004	Apr 2, 2007	no	PROVIDENCE, RI\|PROVIDENCE, RI	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
CLEARPATH WEALTH MANAGEMENT, LLC	UBS FINANCIAL SERVICES INC.	Sep 28, 2012	Oct 19, 2012	21	Firm change	Other
MORGAN STANLEY & CO. LLC	CLEARPATH WEALTH MANAGEMENT, LLC	Dec 20, 2007	Jan 14, 2011	1,121	Firm change after gap	Other
MORGAN STANLEY DW INC.	MORGAN STANLEY & CO. LLC	Apr 2, 2007	Apr 2, 2007	0	Bulk transfer	Other

Relationships

Registered with (4)

→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: current employment
Oct 19, 2012 to presentfactForm ADV
→ CLEARPATH WEALTH MANAGEMENT, LLCRegistered adviserregistration: previous registration
Jan 14, 2011 to Sep 28, 2012factForm ADV
→ MORGAN STANLEY & CO. LLCRegistered adviserregistration: previous registration
Apr 2, 2007 to Dec 20, 2007factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
Mar 16, 2004 to Apr 2, 2007factForm ADV

Dated events

No dated event names this entity yet.