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.
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SEC-registered adviser
B••••••• W••••• G•••• L••
Latest filing Sep 3, 2026
First filing on the tape Oct 2, 2023 · 24 filings
SEC status approved since Nov 2, 2023
RAUM
$494M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
90%
$447M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$98.8M
derived; firm RAUM over IAPD count
Employees
12
5 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$494M as of Jul 31, 2026
Feb 8, 2024$342M then
HNW client RAUM$294M as of Jul 31, 2026
Feb 8, 2024$194M then
State-registered IARs (5.B.3)5 as of Jul 31, 2026
Feb 8, 20247 then
Employees (5.A)12 as of Jul 31, 2026
Feb 8, 202411 then
Private funds: no history
RAUM +18% over the last fiscal yearIARs 6 to 5
Practice profile
derived from the filing of Sep 3, 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
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $98.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 91derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $311,129derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.4derivedItem 5.A over advisors
- Advisors per office
- 1.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- -17%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -1.5%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Wrap fee program
- $494MreportedItem 5.I
- Custody
- $160M, 142 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$294M60%
- Individuals$153M31%
- Corporations and businesses$46.5M9.4%
- Pension and profit-sharing plans$488,2600.1%
- Individual clients
- 328reported
- HNW clients
- 127reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,588reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $160M for 142 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.9 fund_share=0.0 institutional_share=0.0 related_bd= related_bank= bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• C••••••••• D••••••••Certified Financial Planner | Westlake, Oh | Nov 2, 2023 | 24 y | 1 |
| R•••• A•••• P••••• | Westlake, Oh | Nov 2, 2023 | 24 y | 2 |
| J••••• R••••••• H••••••Certified Financial Planner | Westlake, Oh | Nov 2, 2023 | 15 y | 1 |
| M•••••• T••••• G••••••••Certified Financial Planner | Westlake, Oh | Nov 2, 2023 | 10 y | 1 |
| M••••••• L••• T••••• | Westlake, Oh | Nov 2, 2023 | 30 y | 5 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 20% of current headcount3 left over 36 months
Left, latest
- Z•••••• C•••• E•••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••Oct 8, 2025 · RIA to affiliated broker-dealer or bank
- D•••• J••••• D•••••• to C••••••••• C••••••••• A••••••• S••••••••Mar 26, 2025 · RIA to RIA
- T•••••• J•••• V•••••••• to O•••••••Apr 10, 2024 · RIA to RIA
Joined, latest
- M•••••• C••••••••• D•••••••• from A••••••••• F•••••••• S•••••••• L••Nov 2, 2023 · Affiliated broker-dealer or bank to a newly registered adviser
- R•••• A•••• P••••• from A••••••••• F•••••••• S•••••••• L••Nov 2, 2023 · Affiliated broker-dealer or bank to a newly registered adviser
- J••••• R••••••• H•••••• from A••••••••• F•••••••• S•••••••• L••Nov 2, 2023 · Affiliated broker-dealer or bank to a newly registered adviser
- M••••••• L••• T••••• from M•• I•••••••• S•••••••• L••Nov 2, 2023 · Affiliated broker-dealer or bank to a newly registered adviser
- D•••• J••••• D•••••• from A••••••••• F•••••••• S•••••••• L••Nov 2, 2023 · Affiliated broker-dealer or bank to a newly registered adviser
- M•••••• T••••• G•••••••• from A••••••••• F•••••••• S•••••••• L••Nov 2, 2023 · Affiliated broker-dealer or bank to a newly registered adviser
- T•••••• J•••• V•••••••• from A••••••••• F•••••••• S•••••••• L••Nov 2, 2023 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 6 joined from A••••••••• F•••••••• S•••••••• L••Nov 8, 2023 · Sandusky, Oh
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D••••••••• M••••••• C••••••••• · Ceo/President / Managing Membercontrolsince 11/2023 · owns 50% to 75%
- H••••••• J•••••• R••••••• · Partner / Lead Advisorcontrolsince 11/2023 · owns 10% to 25%
- T•••••• M•••••••• L••• · Chief Operations Officer / Chief Compliance Officercontrolsince 11/2023 · 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 |
|---|---|---|---|---|---|
| Westlake, Oh · principal | 5 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Canton, OH2 employees
- Sandusky, OH2 employees
What changed
consecutive filings, newest first
- Financial planning clients · 251-500 to 251-500Jul 31, 2026 to Sep 3, 2026
- Related adviser · false to unsetJul 31, 2026 to Sep 3, 2026
- Related bank · false to unsetJul 31, 2026 to Sep 3, 2026
- Related broker-dealer · false to unsetJul 31, 2026 to Sep 3, 2026
- Related insurance company · false to unsetJul 31, 2026 to Sep 3, 2026
- Succession · false to unsetJul 31, 2026 to Sep 3, 2026
- Employees · 11 to 12Mar 2, 2026 to May 14, 2026
- Accounts · 1,552 to 1,588Dec 11, 2025 to Mar 2, 2026
- Advisory employees · 6 to 5Dec 11, 2025 to Mar 2, 2026
- Advisory activities · 3 to 4Dec 11, 2025 to Mar 2, 2026
- Charity clients · 9.0 to unsetDec 11, 2025 to Mar 2, 2026
- Corporate clients · 45 to 43Dec 11, 2025 to Mar 2, 2026
- HNW clients · 111 to 127Dec 11, 2025 to Mar 2, 2026
- Individual clients · 351 to 328Dec 11, 2025 to Mar 2, 2026
- Assets in custody · $39.8M to $160MDec 11, 2025 to Mar 2, 2026
- Employees · 9 to 11Dec 11, 2025 to Mar 2, 2026
- State-registered IARs · 6 to 5Dec 11, 2025 to Mar 2, 2026
- Discretionary RAUM · $420M to $494MDec 11, 2025 to Mar 2, 2026
- HNW RAUM · $243M to $294MDec 11, 2025 to Mar 2, 2026
- Individual RAUM · $147M to $153MDec 11, 2025 to Mar 2, 2026
- Pension RAUM · $71,000 to $488,260Dec 11, 2025 to Mar 2, 2026
- RAUM · $420M to $494MDec 11, 2025 to Mar 2, 2026
- Financial planning clients · 251-500 to 251-500Feb 24, 2025 to Apr 15, 2025
- Accounts · 1,420 to 1,552Dec 2, 2024 to Feb 24, 2025
- Advisory employees · 7 to 6Dec 2, 2024 to Feb 24, 2025
- Charity clients · unset to 9.0Dec 2, 2024 to Feb 24, 2025
- Corporate clients · 34 to 45Dec 2, 2024 to Feb 24, 2025
- HNW clients · 91 to 111Dec 2, 2024 to Feb 24, 2025
- Individual clients · 364 to 351Dec 2, 2024 to Feb 24, 2025
- Assets in custody · $12.0M to $39.8MDec 2, 2024 to Feb 24, 2025
- Employees · 11 to 9Dec 2, 2024 to Feb 24, 2025
- Financial planning clients · 101-250 to 251-500Dec 2, 2024 to Feb 24, 2025
- State-registered IARs · 7 to 6Dec 2, 2024 to Feb 24, 2025
- Discretionary RAUM · $342M to $420MDec 2, 2024 to Feb 24, 2025
- HNW RAUM · $194M to $243MDec 2, 2024 to Feb 24, 2025
- Individual RAUM · $114M to $147MDec 2, 2024 to Feb 24, 2025
- Pension RAUM · unset to 71000.0Dec 2, 2024 to Feb 24, 2025
- RAUM · $342M to $420MDec 2, 2024 to Feb 24, 2025
- Accounts · 0 to 1,420Dec 4, 2023 to Feb 8, 2024
- Corporate clients · unset to 34.0Dec 4, 2023 to Feb 8, 2024
Signals
9 dated events
- Z•••••• C•••• E•••••• left B••••••• W••••• G•••• L•• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2025-10-14)Oct 8, 2025 · Advisor changed firm · fact
- D•••• J••••• D•••••• left B••••••• W••••• G•••• L•• for C••••••••• C••••••••• A••••••• S•••••••• (registered 2025-04-29)Mar 26, 2025 · Advisor changed firm · fact
- T•••••• J•••• V•••••••• left B••••••• W••••• G•••• L•• for Oneseven (registered 2024-04-24)Apr 10, 2024 · Advisor changed firm · fact
- 6 advisors left A••••••••• F•••••••• S•••••••• L•• (Sandusky, OH) for B••••••• W••••• G•••• L•• within 6 daysNov 8, 2023 · Team lift-out · derived
- Edward Christopher Winn (Chief Compliance Officer) no longer on Schedule A of B••••••• W••••• G•••• L•• (listed 2023-10-02, absent 2023-11-01)Nov 1, 2023 · Control person left · inference
- L••• M••••••• T••••• (Chief Integrations Officer / Chief Compliance Officer) appeared on Schedule A of B••••••• W••••• G•••• L••Nov 1, 2023 · Control person joined · fact
- Christopher M•••••• Daugherty (Ceo/President / Managing Member) appeared on Schedule A of B••••••• W••••• G•••• L••Nov 1, 2023 · Control person joined · fact
- Randolph Joshua Harrell (Partner / Lead Advisor) appeared on Schedule A of B••••••• W••••• G•••• L••Nov 1, 2023 · Control person joined · fact
- B••••••• W••••• G•••• L•• filed its initial SEC registration (Form ADV)Oct 2, 2023 · First SEC registration · 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
- team@choosebalance.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 440-398-0477reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 440-871-6501reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/balanced-wealth-groupreportedpublic record, Form ADV, Sep 18, 2026
- Website
- choosebalance.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (440) 871-6501reportedpublic record, Form ADV, Sep 3, 2026
- Contact form
- choosebalance.com/contactreportedpublished 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
- $98.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026