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.
SEC-registered adviser
Balanced Rock Investment Advisors
Legal name Balanced Rock Investment Advisors LLC
Latest filing May 13, 2026
First filing on the tape Jun 30, 2023 · 7 filings
SEC status approved since Jul 31, 2023
RAUM
$193M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$193M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$32.2M
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$193M as of May 13, 2026
Mar 29, 2024$138M then
HNW client RAUM$134M as of May 13, 2026
Mar 29, 2024$77.0M then
State-registered IARs (5.B.3)4 as of May 13, 2026
Mar 29, 20244 then
Employees (5.A)5 as of May 13, 2026
Mar 29, 20244 then
Private funds: no history
RAUM +24% over the last fiscal yearIARs 4 to 4offices 0 to 1
Practice profile
derived from the filing of May 13, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $32.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 35derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.7MderivedHNW RAUM over HNW clients
- Average account
- $231,694derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.8derivedItem 5.A over advisors
- Advisors per office
- 3.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +24%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +15%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $54.3M, 77 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)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$134M70%
- Individuals$58.8M30%
- Corporations and businesses$2170.0%
- Individual clients
- 130reported
- HNW clients
- 80reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 834reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $54.3M for 77 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Daniel Maclay FlanneryChartered Financial Analyst | Roslindale, Ma | Sep 22, 2011 | 17 y | 0 |
| Laura Marie DanielsCertified Financial Planner | Roslindale, Ma | Mar 22, 2021 | 26 y | 0 |
| Thomas Joseph Higgins | Roslindale, Ma | Jan 6, 2022 | 10 y | 3 |
| Brian Paul DohertyCertified Financial Planner | Roslindale, Ma | Jan 19, 2022 | 14 y | 1 |
| Ashley Elizabeth Murray | Roslindale, Ma | May 14, 2026 | 11 y | 0 |
| Jonathan A Smith | Roslindale, Ma | Aug 12, 2026 | 11 y | 2 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- Clare Amelia Ciervo to Focus Partners Wealth, LLCSep 29, 2022 · RIA to RIA
- Hendrix Rose Berry to Obran Capital Advisors LLCAug 30, 2022 · RIA to a state-registered adviser
- Benjamin Paul Ramsey to Crestwood AdvisorsNov 16, 2021 · RIA to RIA
- Afsana Jahan to Adasina Social CapitalNov 16, 2021 · RIA to RIA
- Elliot Maxwell Bruce to Mason Capital PartnersApr 1, 2017 · RIA to RIA
Joined, latest
- Jonathan A Smith from Mercer Global Advisors Inc.Aug 12, 2026 · RIA to RIA
- Brian Paul Doherty from Honest Asset Management LLCJan 19, 2022 · Other
- Thomas Joseph Higgins from Edelman Financial EnginesJan 6, 2022 · RIA to RIA
- Clare Amelia Ciervo from Mcvittie Financial AdvisorsFeb 23, 2021 · Other
- Benjamin Paul Ramsey from Davinci Capital Management Inc.Sep 21, 2016 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Maclay Daniel Flannery · President, Portfolio Managercontrolsince 03/2011 · owns 75% or more
- Joseph Thomas Higgins · Chief Operating Officer, Chief Compliance Officercontrolsince 03/2023 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Roslindale, Ma · principal | 6 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 714 to 834Mar 28, 2025 to Mar 27, 2026
- HNW clients · 65 to 80Mar 28, 2025 to Mar 27, 2026
- Individual clients · 118 to 130Mar 28, 2025 to Mar 27, 2026
- Assets in custody · $44.6M to $54.3MMar 28, 2025 to Mar 27, 2026
- Employees · 4 to 5Mar 28, 2025 to Mar 27, 2026
- Other offices · 0 to 1Mar 28, 2025 to Mar 27, 2026
- Discretionary RAUM · $156M to $193MMar 28, 2025 to Mar 27, 2026
- HNW RAUM · $103M to $134MMar 28, 2025 to Mar 27, 2026
- Individual RAUM · $52.8M to $58.8MMar 28, 2025 to Mar 27, 2026
- RAUM · $156M to $193MMar 28, 2025 to Mar 27, 2026
- Accounts · 674 to 714Mar 29, 2024 to Mar 28, 2025
- HNW clients · 49 to 65Mar 29, 2024 to Mar 28, 2025
- Individual clients · 134 to 118Mar 29, 2024 to Mar 28, 2025
- Assets in custody · $38.4M to $44.6MMar 29, 2024 to Mar 28, 2025
- Financial planning clients · 101-250 to 101-250Mar 29, 2024 to Mar 28, 2025
- Discretionary RAUM · $138M to $156MMar 29, 2024 to Mar 28, 2025
- HNW RAUM · $77.0M to $103MMar 29, 2024 to Mar 28, 2025
- Individual RAUM · $58.1M to $52.8MMar 29, 2024 to Mar 28, 2025
- RAUM · $138M to $156MMar 29, 2024 to Mar 28, 2025
- Accounts · 581 to 674Dec 11, 2023 to Mar 29, 2024
- HNW clients · 48 to 49Dec 11, 2023 to Mar 29, 2024
- Individual clients · 115 to 134Dec 11, 2023 to Mar 29, 2024
- Assets in custody · $64.1M to $38.4MDec 11, 2023 to Mar 29, 2024
- Discretionary RAUM · $119M to $138MDec 11, 2023 to Mar 29, 2024
- HNW RAUM · $72.6M to $77.0MDec 11, 2023 to Mar 29, 2024
- Individual RAUM · $44.5M to $58.1MDec 11, 2023 to Mar 29, 2024
- RAUM · $119M to $138MDec 11, 2023 to Mar 29, 2024
Signals
3 dated events
- Balanced Rock Investment Advisors filed its initial SEC registration (Form ADV)Jun 30, 2023 · First SEC registration · fact
- Clare Amelia Ciervo left Balanced Rock Investment Advisors for Focus Partners Wealth, Llc (registered 2022-11-22)Sep 29, 2022 · Advisor changed firm · fact
- Hendrix Rose Berry left Balanced Rock Investment Advisors for Obran Capital Advisors Llc (registered 2023-08-29)Aug 30, 2022 · Advisor changed firm · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business email
- info@balancedrockia.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 617-971-8234reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 617-971-8323reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/5199427reportedpublic record, Form ADV, Sep 18, 2026
- Website
- BALANCEDROCKIA.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 617-971-8323reportedpublic record, Form ADV, May 13, 2026
- Team page
- balancedrockinvestmentadvisors.com/our-teamreportedpublished by the firm, firm site, Sep 16, 2026
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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $32.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026