DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
Registered advisor
Dean Balsamo
Feed of 09/14/2026
At current firm
13 y
since Apr 23, 2013
In the industry
26 y
since Apr 5, 2000 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
9
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Td Private Client Wealth LLC BD affiliated currentsince Apr 23, 2013 · Vienna, Va
- Td Ameritrade Investment Management, LLC formerJun 30, 2009 to Dec 13, 2012 · Manchester, Nh
- Td Ameritrade, Inc. formerJun 30, 2009 to Dec 13, 2012 · Bedford, Nh
- Banc Of America Investment Services, Inc. unclassifiedDec 5, 2005 to Jan 29, 2009 · Manchester, Nh
- Td Ameritrade, Inc. formerJun 26, 2003 to Oct 21, 2005 · Manchester, Nh
Moves
a registration end followed by a registration begin elsewhere
- Td Ameritrade Investment Management, LLC to Td Ameritrade, Inc.left Dec 13, 2012, registered Jun 30, 2009 (-1262 days) · Other
- Td Ameritrade, Inc. to Td Ameritrade Investment Management, LLCleft Dec 13, 2012, registered Jun 30, 2009 (-1262 days) · channel change inside one enterprise, not a move
- Banc Of America Investment Services, Inc. to Td Ameritrade Investment Management, LLCleft Jan 29, 2009, registered Jun 30, 2009 (152 days) · Other
- Td Ameritrade, Inc. to Banc Of America Investment Services, Inc.left Oct 21, 2005, registered Dec 5, 2005 (45 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address