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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

APPROPRIATE BALANCE FINANCIAL SERVICES INC

CRD 105458

BELLEVUE, WA

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:cd6a97e4-632a-321a-cf51-64e2ef0c08d9

Data as of Mar 16, 2017 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 6:54 AM UTC and rebuilt at most every 15 minutes.

Relationships: 18
Dated events: 0
On other graphs: 0
Observed: Mar 21, 2012 to Mar 16, 2017
16 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: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $311MItem 5.F on the latest filing (2017-03-16); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $293M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 13
Advisory employees: 5
Accounts: 878
SEC number: 801-22418
CRD: 105458
Filings on the tape: 16
First filed: Mar 21, 2012
Latest filed: Mar 16, 2017
Organised: Corporation, Washington

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
DUSENBURY, MARCUS, DELVIN	Director	Na	yes	02/2017	Mar 16, 2017	Mar 16, 2017
JAEGER, MARK, DEAN	CHIEF COMPLIANCE OFFICER	Na	yes	02/2017	Mar 21, 2012	Mar 16, 2017
PENNELL, ROBERT, MAYNARD	Director	Na	yes	02/2017	Mar 21, 2012	Mar 16, 2017
TAM, ADRIEL	President	Na	yes	02/2017	Mar 16, 2017	Mar 16, 2017
YATES, BRUCE, MARTIN	Director	Na	yes	02/2017	Mar 21, 2012	Mar 16, 2017
APPROPRIATE BALANCE HOLDINGS, INC.	HOLDING COMPANY	E	no	02/2017	Mar 16, 2017	Mar 16, 2017

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

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2016	Mar 16, 2017	$311M	$293M	13	5	n/a	n/a	n/a
2015	Feb 26, 2016	$307M	$287M	14	6	n/a	n/a	n/a
2014	Mar 24, 2015	$327M	$304M	14	6	n/a	n/a	n/a
2013	Mar 4, 2014	$356M	$328M	18	9	n/a	n/a	n/a
2012	Mar 25, 2013	$349M	$304M	19	10	n/a	n/a	n/a
2011	Mar 21, 2012	$361M	$308M	n/a	n/a	n/a	n/a	n/a

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
2016	$311M	$307M	1.4%	$356M	-4.4%	13	14	n/a	n/a

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
VIRIDIAN RIA, LLC	4	Feb 22, 2018	Sep 5, 2017	BELLEVUE, WA	Firm absorbed	Other	100.0%

Relationships

Controls (5)

← JAEGER, MARK, DEANOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 21, 2012 to presentfactForm ADV
← DUSENBURY, MARCUS, DELVINOwnerDIRECTOR, ownership code NA, individual
Mar 16, 2017 to presentfactForm ADV
← TAM, ADRIELOwnerPRESIDENT, ownership code NA, individual
Mar 16, 2017 to presentfactForm ADV
← PENNELL, ROBERT, MAYNARDOwnerDIRECTOR, ownership code NA, individual
Mar 21, 2012 to presentfactForm ADV
← YATES, BRUCE, MARTINOwnerDIRECTOR, ownership code NA, individual
Mar 21, 2012 to presentfactForm ADV

Owns (1)

← APPROPRIATE BALANCE HOLDINGS, INC.OwnerHOLDING COMPANY, ownership code E, domestic entity
Mar 16, 2017 to presentfactForm ADV

Registered with (11)

← MARK DEAN JAEGERAdvisorregistration: previous registration
Apr 4, 2011 to Feb 22, 2018factForm ADV
← DOUGLAS BRADLEY CUSTERAdvisorregistration: previous registration
Sep 15, 2011 to Feb 22, 2018factForm ADV
← BRIAN ANDREW JOHNSONAdvisorregistration: previous registration
Jun 18, 2012 to Feb 22, 2018factForm ADV
← MARY ANN MIDDLETON FERREIRAAdvisorregistration: previous registration
May 20, 2003 to Feb 22, 2018factForm ADV
← MARGARET HELENE YOUCHAdvisorregistration: previous registration
Feb 5, 1987 to Aug 28, 2014factForm ADV
← RICHARD ALLEN MERRIFIELDAdvisorregistration: previous registration
Sep 15, 2006 to Feb 17, 2011factForm ADV
← RANDALL CRAIG BUCKAdvisorregistration: previous registration
Oct 6, 2009 to Feb 17, 2011factForm ADV
← JOE LOUIS CERVANTESAdvisorregistration: previous registration
Jul 15, 2008 to Feb 17, 2011factForm ADV
← JASON DAVID PRETIAdvisorregistration: previous registration
Mar 12, 2009 to Feb 17, 2011factForm ADV
← PHILIP THOMAS PLATTAdvisorregistration: previous registration
Jun 14, 2005 to May 20, 2009factForm ADV
← Kristin N DycusAdvisorregistration: previous registration
Jun 14, 2005 to Dec 6, 2007factForm ADV

Moved with (1)

→ VIRIDIAN RIA, LLCRegistered adviser4 advisors, firm absorbed, same day
Feb 22, 2018 to Sep 5, 2017factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:cd6a97e4-632a-321a-cf51-64e2ef0c08d9
First observed: Mar 21, 2012
Last observed: Mar 16, 2017 115 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.

APPROPRIATE BALANCE FINANCIAL SERVICES INC

CRD 105458

BELLEVUE, WA

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:cd6a97e4-632a-321a-cf51-64e2ef0c08d9

Data as of Mar 16, 2017 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 6:54 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

DUSENBURY, MARCUS, DELVIN

Director

yes

02/2017

Mar 16, 2017

JAEGER, MARK, DEAN

CHIEF COMPLIANCE OFFICER

yes

02/2017

Mar 21, 2012

Mar 16, 2017

PENNELL, ROBERT, MAYNARD

Director

yes

02/2017

Mar 21, 2012

Mar 16, 2017

TAM, ADRIEL

President

yes

02/2017

Mar 16, 2017

YATES, BRUCE, MARTIN

Director

yes

02/2017

Mar 21, 2012

Mar 16, 2017

APPROPRIATE BALANCE HOLDINGS, INC.

HOLDING COMPANY

02/2017

Mar 16, 2017

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2016

Mar 16, 2017

$311M

$293M

n/a

2015

Feb 26, 2016

$307M

$287M

n/a

2014

Mar 24, 2015

$327M

$304M

n/a

2013

Mar 4, 2014

$356M

$328M

n/a

2012

Mar 25, 2013

$349M

$304M

n/a

2011

Mar 21, 2012

$361M

$308M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2016

$311M

$307M

1.4%

$356M

-4.4%

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

VIRIDIAN RIA, LLC

Feb 22, 2018

Sep 5, 2017

BELLEVUE, WA

Firm absorbed

Other

100.0%