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
John Ballon
Feed of 09/15/2026
At current firm
2 y
since Jul 31, 2024
In the industry
16 y
since Feb 1, 2010 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
4
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- Osaic Wealth, Inc. BD affiliated currentsince Jul 31, 2024 · Alpharetta, Ga
- Cetera Investment Advisers LLC BD affiliatedOct 27, 2020 to Aug 2, 2024 · Suwanee, Ga
- First Allied Advisory Services, Inc. formerMay 9, 2017 to Nov 12, 2020 · Norcross, Ga
- Esi Financial Advisors independent RIADec 18, 2013 to May 9, 2017 · Sandy Springs, Ga
- Esi Financial Advisors independent RIAOct 22, 2012 to Nov 18, 2013 · New York, Ny
Moves
a registration end followed by a registration begin elsewhere
- Cetera Investment Advisers LLC to Osaic Wealth, Inc.left Aug 2, 2024, registered Jul 31, 2024 (-2 days) · Affiliated broker-dealer or bank to another · moved with a team
- First Allied Advisory Services, Inc. to Cetera Investment Advisers LLCleft Nov 12, 2020, registered Oct 27, 2020 (-16 days) · corporate re-registration, not a move
- Esi Financial Advisors to First Allied Advisory Services, Inc.left May 9, 2017, registered May 9, 2017 (0 days) · Other
Signals
- John Ballon left Cetera Investment Advisers Llc for Osaic Wealth, Inc. (registered 2024-07-31)Aug 2, 2024 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address