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 Wealth Management, LLC.

Independent wealth managerWest Warwick, Rhode IslandCRD 174699SEC 801-135800websiteIAPD
Latest filing Aug 24, 2026
First filing on the tape Apr 16, 2026 · 2 filings
SEC status approved since Apr 8, 2026
RAUM
$102M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
95%
$96.8M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$51.0M
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$102M as of Aug 24, 2026
Apr 16, 2026$102M then
HNW client RAUM$22.6M as of Aug 24, 2026
Apr 16, 2026$22.6M then
State-registered IARs (5.B.3)2 as of Aug 24, 2026
Apr 16, 20262 then
Employees (5.A)4 as of Aug 24, 2026
Apr 16, 20264 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Aug 24, 2026; every figure names its basis
Archetypes, each a printed rule
  • 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
  • Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
RAUM per advisor
$51.0MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
122derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.3MderivedHNW RAUM over HNW clients
Average account
$202,704derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
5.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
1.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$74.1M73%
  • High-net-worth individuals$22.6M22%
  • Pension and profit-sharing plans$5.2M5.1%
Individual clients
225reported
HNW clients
18reported
Pension plan clients
5reported
Charitable clients
n/areported
Accounts
503reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
private_client_share=0.95 fund_share=0.0 institutional_share=0.05 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
Robert Nicholas AuclairCertified Financial PlannerWest Warwick, RiFeb 9, 201527 y1
William Baker HerbertWest Warwick, Ri Feb 7, 202510 y1
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
    Joined, latest
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    No Schedule A on the extract for this adviser.
    Related persons
    Schedule D 7.A
    No related person reported.
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    West Warwick, Ri · principal200
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • HQ city · EAST GREENWICH to WEST WARWICK
      Apr 16, 2026 to Aug 24, 2026
    • Other offices · 0 to 1
      Apr 16, 2026 to Aug 24, 2026
    Signals
    No event on the tape.
    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 phone
    401-398-2000reportedpublished by the firm, firm site, Sep 16, 2026
    Firm profile
    linkedin.com/company/balanced-wealth-manangementreportedpublic record, Form ADV, Sep 17, 2026
    Website
    BALANCEDWEALTH.COMreportedpublic record, Form ADV, Sep 17, 2026
    Principal office phone
    (401) 398-2000reportedpublic record, Form ADV, Aug 24, 2026
    Team page
    balancedwealth.com/meet-the-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
    $51.0Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026