BALANZ
BALANZ ADVISORS LLC Legal Name
Adviser information for BALANZ last updated from Form ADV on March 13th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Florida, United States |
Employees
| Total Number of Employees | 9 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 2 |
| Registered State Investment Advisers | 3 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 0 | $0 |
| Non-Discretionary | 62 | $265.9M |
| Total | 62 | $265.9M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 29 | $7.7M |
| HNW Individuals | 25 | $27.1M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | <5 | $124.0M |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 7 | $107.1M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 50 |
Services
| Advisory Services | Portfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-126818 |
|---|---|
| SEC ERA File Number | 801-126818 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 322263 |
| Legal Entity Identifier | None |
Principal Office
2811 PONCE DE LEON BLVD.SUITE 710
CORAL GABLES
FL
United States
Monday - Friday, 9AM TO 6PM
Tel: 786 687-4066, Fax: 786 687-4066
Websites
Chief Compliance Officer
MARC MORELL
2811 PONCE DE LEON BLVD
SUITE 710
CORAL GABLES
FL
United States
Tel:
786 750-4078
M******@********S
(Full email address available in API data)
Regulatory Contact
JUAN CARLOS RIERA
COMPLIANCE CONSULTANT
2600 S. DOUGLAS RD.
SUITE 908
CORAL GABLES
FL
United States
Tel:
3054480014
J*****@*****************M
(Full email address available in API data)
Industry Affiliates
| BALANZ CAPITAL INTERNATIONAL INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| BALANZ CAPITAL UK LLP | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| BALANZ CAPITAL VALORES S.A.U. | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| BALANZ SOCIEDAD GERENTE FONDOS COMUNES DE INVERSI�N S.A.U. | Sponsor, GP, manager of pooled investment vehicles |
| BALANZ URUGUAY AGENTE DE VALORES S.A. | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| BALANZ URUGUAY S.A. | Other investment adviser, including financial planners |
| FIRST GLOBAL TRADE LLP | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| LUCIER, ALFRED, ARTHUR | Individual | – | MANAGING DIRECTOR | 09/2022 | < 5% |
| GANTER, RICHARD, LEO | Individual | – | CEO, PRINCIPAL | 09/2022 | < 5% |
| BALANZ HOLDINGS US LLC | Domestic Entity | – | SOLE MEMBER | 09/2021 | > 75% |
| BALANZ CAPITAL GROUP S.A. | Foreign Entity | BALANZ HOLDINGS US LLC | SHAREHOLDER | 09/2022 | > 75% |
| PORCEL, CLAUDIO, FEDERICO | Individual | BALANZ CAPITAL GROUP S.A. | SHAREHOLDER | 10/2010 | 25-50% |
| PITA, ISABEL, NOEMI | Individual | BALANZ CAPITAL GROUP S.A. | SHAREHOLDER | 10/2010 | |
| BERNARDEZ, JUAN, CARLOS | Individual | BALANZ CAPITAL GROUP S.A. | SHAREHOLDER | 10/2010 | |
| BERNARDEZ, OCTAVIO | Individual | BALANZ CAPITAL GROUP S.A. | SHAREHOLDER | 10/2010 | |
| Morell, Marc, A | Individual | – | CCO | 08/2023 | < 5% |