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.

Former SEC-registered adviser

Balasa Dinverno Foltz LLC

Former SEC-registered adviserItasca, IllinoisCRD 113630SEC 801-60368IAPD
Latest filing Mar 1, 2023
First filing on the tape Mar 27, 2012 · 37 filings
RAUM
$5.9B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
96%
$5.7B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
47
45 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
37 filings and snapshots on the tape
RAUM$5.9B as of Mar 24, 2022
Mar 27, 2012$2.0B then
HNW client RAUM$5.6B as of Mar 24, 2022
Mar 25, 2018$3.6B then
State-registered IARs (5.B.3)45 as of Mar 24, 2022
Mar 1, 201323 then
Employees (5.A)47 as of Mar 24, 2022
Mar 1, 201323 then
Private funds: no history
RAUM +10% over the last fiscal year+13% a year over threeIARs 43 to 45
Practice profile
derived from the filing of Mar 1, 2023; every figure names its basis
RAUM per advisor
$132MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
34derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$4.7MderivedHNW RAUM over HNW clients
Average account
$875,925derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
3.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
45.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+10%derivedbetween the last two annual amendments
Advisor growth, one year
+4.7%derivedItem 5.B.3 between annual amendments
Client growth, one year
+7.5%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
Financial planning clients
1,500reportedItem 5.H
Custody
$2.1B, 1,542 clientsreportedItem 9.A
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$5.6B94%
  • Individuals$123M2.1%
  • Pension and profit-sharing plans$123M2.1%
  • State and municipal entities$50.3M0.9%
  • Charitable organizations$27.3M0.5%
  • Corporations and businesses$19.5M0.3%
Individual clients
327reported
HNW clients
1,187reported
Pension plan clients
17reported
Charitable clients
5reported
Accounts
6,756reported
Financial planning clients
1,500reported
Wrap fee programs
noreported
Custody of client assets
$2.1B for 1,542 clientsreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • David Chad Carlson · President & Chief Investment Officercontrol
    since 09/2020 · owns less than 5%
  • Chase Susan Korin · Chief Operating Officercontrol
    since 01/2015 · owns less than 5%
  • Triston Larry Nakamura · Chief Compliance Officercontrol
    since 02/2023 · owns less than 5%
Entity owners
  • Ci Private Wealth, LLC · Owner & Managing Member
    direct · owns 75% or more
  • Ci Financial Corp. · Owner
    indirect · owns 75% or more of Ci Private Wealth, LLC
  • Ci US Holdings, Inc. · Owner
    indirect · owns 75% or more of Cipw Holdings, LLC
  • Cipw Holdings, LLC · Owner
    indirect · owns 75% or more of Ci Private Wealth, LLC
Related persons
Schedule D 7.A
  • Corient
    investment adviseryRAUM $165B
Advisers that list Balasa Dinverno Foltz LLC as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Related adviser · false to true
    Sep 19, 2022 to Nov 30, 2022
  • Accounts · 5,810 to 6,756
    Mar 26, 2021 to Mar 24, 2022
  • Advisory employees · 43 to 45
    Mar 26, 2021 to Mar 24, 2022
  • Charity clients · 6 to 5
    Mar 26, 2021 to Mar 24, 2022
  • Corporate clients · 3 to 4
    Mar 26, 2021 to Mar 24, 2022
  • HNW clients · 1,154 to 1,187
    Mar 26, 2021 to Mar 24, 2022
  • Individual clients · 255 to 327
    Mar 26, 2021 to Mar 24, 2022
  • Pension plan clients · 14 to 17
    Mar 26, 2021 to Mar 24, 2022
  • Assets in custody · $1.8B to $2.1B
    Mar 26, 2021 to Mar 24, 2022
  • Employees · 45 to 47
    Mar 26, 2021 to Mar 24, 2022
  • State-registered IARs · 43 to 45
    Mar 26, 2021 to Mar 24, 2022
  • Discretionary RAUM · $5.4B to $5.9B
    Mar 26, 2021 to Mar 24, 2022
  • HNW RAUM · $5.1B to $5.6B
    Mar 26, 2021 to Mar 24, 2022
  • Individual RAUM · $99.1M to $123M
    Mar 26, 2021 to Mar 24, 2022
  • Pension RAUM · $117M to $123M
    Mar 26, 2021 to Mar 24, 2022
  • RAUM · $5.4B to $5.9B
    Mar 26, 2021 to Mar 24, 2022
  • Accounts · 5,734 to 5,810
    Dec 17, 2020 to Mar 16, 2021
  • Advisory employees · 42 to 43
    Dec 17, 2020 to Mar 16, 2021
  • Corporate clients · 5 to 3
    Dec 17, 2020 to Mar 16, 2021
  • HNW clients · 1,062 to 1,154
    Dec 17, 2020 to Mar 16, 2021
  • Individual clients · 221 to 255
    Dec 17, 2020 to Mar 16, 2021
  • Pension plan clients · 57 to 14
    Dec 17, 2020 to Mar 16, 2021
  • Assets in custody · $1.5B to $1.8B
    Dec 17, 2020 to Mar 16, 2021
  • State-registered IARs · 42 to 43
    Dec 17, 2020 to Mar 16, 2021
  • Other offices · 2 to 0
    Dec 17, 2020 to Mar 16, 2021
  • Discretionary RAUM · $4.6B to $5.4B
    Dec 17, 2020 to Mar 16, 2021
  • HNW RAUM · $4.1B to $5.1B
    Dec 17, 2020 to Mar 16, 2021
  • Individual RAUM · $139M to $99.1M
    Dec 17, 2020 to Mar 16, 2021
  • Pension RAUM · $257M to $117M
    Dec 17, 2020 to Mar 16, 2021
  • RAUM · $4.6B to $5.4B
    Dec 17, 2020 to Mar 16, 2021
  • Accounts · 5,346 to 5,734
    Aug 29, 2019 to Mar 25, 2020
  • Advisory employees · 41 to 42
    Aug 29, 2019 to Mar 25, 2020
  • Advisory activities · 4 to 3
    Aug 29, 2019 to Mar 25, 2020
  • Charity clients · 8 to 6
    Aug 29, 2019 to Mar 25, 2020
  • Corporate clients · 4 to 5
    Aug 29, 2019 to Mar 25, 2020
  • HNW clients · 993 to 1,062
    Aug 29, 2019 to Mar 25, 2020
  • Individual clients · 219 to 221
    Aug 29, 2019 to Mar 25, 2020
  • Pension plan clients · 60 to 57
    Aug 29, 2019 to Mar 25, 2020
  • Assets in custody · $1.4B to $1.5B
    Aug 29, 2019 to Mar 25, 2020
  • Employees · 44 to 45
    Aug 29, 2019 to Mar 25, 2020
Signals
5 dated events
  • Triston Larry Nakamura (Chief Compliance Officer) appeared on Schedule A of Balasa Dinverno Foltz Llc
    Mar 1, 2023 · Control person joined · fact
  • David Chad Carlson (President & Co-Chief Investment Officer) appeared on Schedule A of Balasa Dinverno Foltz Llc
    Oct 14, 2020 · Control person joined · fact
  • Edward Mark Balasa (Co-Chief Executive Officer) no longer on Schedule A of Balasa Dinverno Foltz Llc (listed 2020-09-04, absent 2020-10-14)
    Oct 14, 2020 · Control person left · inference
  • Alfred Armond Dinverno (Co-Chief Executive Officer, President, Treasurer) no longer on Schedule A of Balasa Dinverno Foltz Llc (listed 2020-09-04, absent 2020-10-14)
    Oct 14, 2020 · Control person left · inference
  • Craig Michael Foltz (Vice President) no longer on Schedule A of Balasa Dinverno Foltz Llc (listed 2020-09-04, absent 2020-10-14)
    Oct 14, 2020 · Control person left · inference
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
Provenance
Form ADV
SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
Advisors
IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
Class
Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor
n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026