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
Shana Lesch Ballard
Certified Financial Planner
Feed of 09/14/2026
Also filed as Shana Leann Lesch
At current firm
1 y
since May 14, 2025
In the industry
19 y
since Dec 4, 2006 (earliest exam, job or registration)
Prior registered firms
8
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- Mission Creek Capital Partners, Inc. independent RIA currentsince May 14, 2025 · San Francisco, Ca
- Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseMay 26, 2021 to Apr 29, 2025 · New York, Ny
- Brio Financial Group independent RIAJun 4, 2020 to Aug 17, 2020 · San Francisco, Ca
- Ep Wealth Advisors independent RIAAug 29, 2019 to Feb 14, 2020 · Lafayette, Ca
- Personal Financial Consultants, Inc. formerSep 14, 2018 to Sep 6, 2019 · Pleasant Hill, Ca
- Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseSep 28, 2017 to Apr 11, 2018 · San Francisco, Ca
- Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseJul 1, 2010 to Oct 1, 2015 · Winter Haven, Fl
- U.S. Bancorp Investments, Inc. formerMar 21, 2007 to May 28, 2010 · San Francisco, Ca
- Ameriprise Financial Services, LLC national BDDec 4, 2006 to Jan 17, 2007 · San Francisco, Ca
Moves
a registration end followed by a registration begin elsewhere
- Merrill Lynch, Pierce, Fenner & Smith Incorporated to Mission Creek Capital Partners, Inc.left Apr 29, 2025, registered May 14, 2025 (15 days) · Wirehouse to independent RIA
- Brio Financial Group to Merrill Lynch, Pierce, Fenner & Smith Incorporatedleft Aug 17, 2020, registered May 26, 2021 (282 days) · RIA to wirehouse
- Ep Wealth Advisors to Brio Financial Groupleft Feb 14, 2020, registered Jun 4, 2020 (111 days) · RIA to RIA
- Personal Financial Consultants, Inc. to Ep Wealth Advisorsleft Sep 6, 2019, registered Aug 29, 2019 (-8 days) · RIA to RIA · moved with a team
- Merrill Lynch, Pierce, Fenner & Smith Incorporated to Personal Financial Consultants, Inc.left Apr 11, 2018, registered Sep 14, 2018 (156 days) · Wirehouse to independent RIA
- U.S. Bancorp Investments, Inc. to Merrill Lynch, Pierce, Fenner & Smith Incorporatedleft May 28, 2010, registered Jul 1, 2010 (34 days) · Other
- Ameriprise Financial Services, LLC to U.S. Bancorp Investments, Inc.left Jan 17, 2007, registered Mar 21, 2007 (63 days) · Other
Signals
- Shana Lesch Ballard left Merrill Lynch, Pierce, Fenner & Smith Incorporated for Mission Creek Capital Partners, Inc. (registered 2025-05-14)Apr 29, 2025 · Advisor changed firm · fact
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
- Independent wealth managerderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address