Hedge Fund Database

BALANCED ROCK INVESTMENT ADVISORS

BALANCED ROCK INVESTMENT ADVISORS LLC Legal Name

Adviser information for BALANCED ROCK INVESTMENT ADVISORS last updated from Form ADV on March 29th, 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 Massachusetts, United States

Employees

Total Number of Employees 4
Investment Advisory/Research 4
Registered Broker-Dealer Representatives 0
Registered State Investment Advisers 4
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 674 $137.6M
Non-Discretionary 0 $0
Total 674 $137.6M

Clients

Type Number RAUM
Individuals 134 $58.1M
HNW Individuals 49 $77.0M
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 0 $0
Insurance companies 0 $0
Sovereign wealth funds and foreign official institutions 0 $0
Corporations or other businesses <5 $2.6M
Other 0 $0
Type Number
No. of Non-RAUM Clients 18
No. of Non-U.S. Clients 1
No. of Financial Planning Clients 101-250

Services

Advisory Services Financial planningPortfolio management for individuals and/or small businesses
Compensation % of AUMHourly chargesFixed fees

Identifiers

SEC RIA File Number 801-128479
SEC ERA File Number 801-128479
SEC CIK Numbers 2011851
SEC CRD Numbers 157424
Legal Entity Identifier None

Principal Office

4238 WASHINGTON STREET
SUITE 311
ROSLINDALE
MA
United States
Monday - Friday, 9-5
Tel: 617-971-8323, Fax: 617-934-2540

Websites

balancedrockinvestmentadvisors.com www.facebook.com/balancedrockia/ www.youtube.com/channel/ucayia4oyeyd6g2if0cadjwq twitter.com/balancedrockia www.linkedin.com/company/5199427/ balancedrockia.com www.yelp.com/biz/balanced-rock-investment-advisors-roslindale

Chief Compliance Officer

THOMAS HIGGINS
COO & CCO
4238 WASHINGTON STREET
SUITE 311
ROSLINDALE
MA
United States
Tel: 617-971-8753
(Full email address available in API data)

Industry Affiliates

None

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
None

Control Persons

Name Type Entity Title Since Ownership
FLANNERY, DANIEL, MACLAY Individual – PRESIDENT, PORTFOLIO MANAGER 03/2011 > 75%
HIGGINS, THOMAS, JOSEPH Individual – CHIEF OPERATING OFFICER, CHIEF COMPLIANCE OFFICER 03/2023 < 5%

No. Employees, Historic

10502023202420254 on 6/30/20234 on 9/1/20234 on 12/11/20234 on 3/29/2024

RAUM, Historic

200M100M0202320242025119402911 on 6/30/2023119402911 on 9/1/2023119402911 on 12/11/2023137642490 on 3/29/2024

No. Clients, Historic

2001000202320242025163 on 6/30/2023163 on 9/1/2023163 on 12/11/2023183 on 3/29/2024

Holdings

From latest 13F, filed July 31st, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
AERCAP HOLDINGS NV SHS 694K 7K 0
ALIBABA GROUP HLDG LTD SPONSORED ADS 204K 3K 0
ALPHABET INC CAP STK CL A 449K 2K 0
AMGEN INC COM 473K 2K 0
ANHEUSER BUSCH INBEV SA/NV SPONSORED ADR 479K 8K 0
APPLE INC COM 439K 2K 0
BERKSHIRE HATHAWAY INC DEL CL B NEW 277K 680 0
BLACKROCK INC COM 262K 333 0
BOSTON BEER INC CL A 258K 847 0
BROOKFIELD RENEWABLE CORP CL A SUB VTG 422K 15K 0
CITIGROUP INC COM NEW 531K 8K 0
COMCAST CORP NEW CL A 437K 11K 0
CRITEO S A SPONS ADS 599K 16K 0
CUMULUS MEDIA INC COM CL A 185K 91K 0
CVS HEALTH CORP COM 203K 3K 0
ELI LILLY & CO COM 302K 334 0
FIRST TR EXCH TRADED FD III INSTL PFD SECS 219K 12K 0
GENERAL MTRS CO COM 578K 12K 0
GILEAD SCIENCES INC COM 411K 6K 0
HANESBRANDS INC COM 317K 64K 0
HEIDRICK & STRUGGLES INTL IN COM 331K 10K 0
INVESCO EXCH TRADED FD TR II S&P GBL WATER 569K 10K 0
INVESCO EXCH TRADED FD TR II PFD ETF 215K 19K 0
ISHARES INC ESG AWR MSCI EM 1M 43K 0
ISHARES INC CORE MSCI EMKT 298K 6K 0
ISHARES TR CORE MSCI EAFE 273K 4K 0
ISHARES TR ESG AW MSCI EAFE 4M 51K 0
ISHARES TR CORE MSCI INTL 488K 7K 0
ISHARES TR FALN ANGLS USD 224K 9K 0
ISHARES TR ESG AWR MSCI USA 3M 25K 0
ISHARES TR HIGH YLD SYSTM B 227K 5K 0
ISHARES TR ESG ADVNCD HY BD 3M 58K 0
ISHARES TR GL CLEAN ENE ETF 472K 35K 0
ISHARES TR SHRT NAT MUN ETF 472K 5K 0
ISHARES TR MSCI USA ESG SLC 911K 8K 0
ISHARES TR CORE US AGGBD ET 632K 7K 0
ISHARES TR ESG ADV TTL USD 9M 212K 0
ISHARES TR ESG SCRND S&P SM 1M 38K 0
ISHARES TR ESG SCRD S&P MID 2M 44K 0
ISHARES TR EGSADVNCDMSCI EM 3M 90K 0
ISHARES TR ESG AWARE MSCI 2M 57K 0
ISHARES TR ESG AWR US AGRGT 6M 139K 0
ISHARES TR ESG MSCI USA ETF 9M 201K 0
ISHARES TR ESG EAFE ETF 7M 97K 0
JOHNSON & JOHNSON COM 204K 1K 0
LINDBLAD EXPEDITIONS HLDGS I COM 309K 32K 0
MANAGER DIRECTED PORTFOLIOS VERT GLB SUST RE 4M 413K 0
MEDTRONIC PLC SHS 413K 5K 0
MERCADOLIBRE INC COM 532K 324 0
MICROSOFT CORP COM 474K 1K 0
MILLICOM INTL CELLULAR S A COM STK 755K 31K 0
NUSHARES ETF TR NUVEEN ESG LRGVL 2M 45K 0
NUSHARES ETF TR NUVEEN ESG SMLCP 633K 16K 0
PAGSEGURO DIGITAL LTD COM CL A 540K 46K 0
PIMCO EQUITY SER RAFI ESG US 4M 110K 0
PIMCO ETF TR 15+ YR US TIPS 2M 31K 0
QUIDELORTHO CORP COM 225K 7K 0
SALESFORCE INC COM 476K 2K 0
SCHWAB STRATEGIC TR US LRG CAP ETF 420K 7K 0
SCHWAB STRATEGIC TR US LCAP VA ETF 205K 3K 0
SCHWAB STRATEGIC TR SHT TM US TRES 1M 26K 0
SCPHARMACEUTICALS INC COM 275K 63K 0
TORONTO DOMINION BK ONT COM NEW 822K 15K 0
UNILEVER PLC SPON ADR NEW 247K 4K 0
VANECK ETF TRUST IG FLOATING RATE 407K 16K 0
VANECK ETF TRUST PREFERRED SECURT 346K 20K 0
VANGUARD BD INDEX FDS TOTAL BND MRKT 3M 39K 0
VANGUARD CHARLOTTE FDS TOTAL INT BD ETF 2M 50K 0
VANGUARD INDEX FDS SMALL CP ETF 891K 4K 0
VANGUARD INDEX FDS GROWTH ETF 711K 2K 0
VANGUARD INDEX FDS VALUE ETF 435K 3K 0
VANGUARD INDEX FDS REAL ESTATE ETF 1M 13K 0
VANGUARD INDEX FDS LARGE CAP ETF 1M 6K 0
VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 677K 15K 0
VANGUARD INTL EQUITY INDEX F GLB EX US ETF 1M 30K 0
VANGUARD MALVERN FDS STRM INFPROIDX 2M 40K 0
VANGUARD MUN BD FDS TAX EXEMPT BD 6M 128K 0
VANGUARD SCOTTSDALE FDS LONG TERM TREAS 2M 28K 0
VANGUARD TAX-MANAGED FDS VAN FTSE DEV MKT 1M 30K 0
VANGUARD WHITEHALL FDS EM MK GOV BD ETF 4M 62K 0
VANGUARD WORLD FD MEGA GRWTH IND 2M 6K 0
VANGUARD WORLD FD ESG US STK ETF 1M 14K 0
VANGUARD WORLD FD ESG INTL STK ETF 3M 58K 0
VEEVA SYS INC CL A COM 268K 1K 0
WARNER BROS DISCOVERY INC COM SER A 117K 16K 0
WILLIAMS SONOMA INC COM 392K 1K 0
WOODSIDE ENERGY GROUP LTD SPONSORED ADR 189K 10K 0
WPP PLC NEW ADR 549K 12K 0
ZUMIEZ INC COM 265K 14K 0