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.
Advisor moves
Departures from Balanced Asset Strategies, Ltd.
A move is two dates on IAPD: the day a person’s registration through one firm ended and the day a registration through another began. The type reads the class of each firm. This is the movement tape the mobility research is validated against; it says what happened, never why, and never who is about to.
| Advisor | From | To | Type | Left | Registered |
|---|---|---|---|---|---|
| James Gazis | Balanced Asset Strategies, Ltd. independent RIA | Independent Financial Partners BD affiliated | RIA to affiliated broker-dealer or bank | Oct 10, 2025 | Aug 21, 2025 |
| Theodore J Gazis | Balanced Asset Strategies, Ltd. independent RIA | Morgan Stanley wirehouse | RIA to wirehouse | Jun 18, 2025 | Jul 6, 2025 |
| Matthew John Arndt | Balanced Asset Strategies, Ltd. independent RIA | Gallatin Financial Advisors, LLC state registered | RIA to a state-registered adviser | Oct 9, 2012 | Aug 6, 2012 |
Page 1 of 1
3 moves match.