{"url":"https://nivawealth.com/firms/balanced-wealth-management-174699","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/174699","regulatoryAum":101959984,"crd":"174699","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"2999541","suffix":null,"lastName":"AUCLAIR","firstName":"ROBERT","middleName":"NICHOLAS"},{"crd":"7628823","suffix":null,"lastName":"HERBERT","firstName":"WILLIAM","middleName":"BAKER"}],"total":2,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"secFileNumber":"801-135800","legalName":"Balanced Wealth Management, LLC.","displayName":"Balanced Wealth 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Brokerage Services LLC","shortName":"Fidelity","location":"Smithfield, RI","smaAssets":101959984}],"custodyNote":"Balanced Wealth Management does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Robert Auclair","title":"Principal and Chief Compliance Officer","crd":"2999541"}],"ownership":[{"label":"Robert Auclair","detail":"Principal and chief compliance officer in the 75% or more ownership band and a control person, since January 2015."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":1,"privateResidences":0},"listedOfficeAddresses":2,"foreignOffices":[],"officesByState":[{"state":"Massachusetts","offices":1,"addresses":[{"street":"117 Kendrick St","city":"Needham"}]},{"state":"Rhode Island","offices":1,"addresses":[{"street":"1350 Division Road, Suite 204","city":"West Warwick","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 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They include 225 individual clients, 18 high-net-worth individuals, and 5 pension and profit-sharing plans.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 24 August 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Balanced Wealth Management offer?","answer":"Balanced Wealth Management provides financial planning, portfolio management for individuals and small businesses, pension consulting, and selecting other managers.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does Balanced Wealth Management charge?","answer":"Balanced Wealth Management charges 0.50%–1.50% a year for its Wealth Management. The fee is billed in advance or in arrears and is negotiable.","source":"BALANCED WEALTH DISCLOSURE BROCHURE AND SUPPLEMENT, filed 24 August 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Balanced Wealth Management use?","answer":"Balanced Wealth Management’s separately managed account assets are held at Fidelity Brokerage Services LLC (Smithfield, RI), with $102M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 24 August 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Balanced Wealth Management have?","answer":"Balanced Wealth Management has 2 investment adviser representatives registered with state securities authorities, out of 4 employees, and 2 perform investment advisory functions. 0 employees are registered representatives of a broker-dealer and 2 employees are licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Balanced Wealth Management invest in?","answer":"At the end of its last fiscal year, Balanced Wealth Management’s separately managed accounts held 86% registered funds (mutual funds, ETFs, BDCs), 12% exchange-traded equities and 2% state and local bonds.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Balanced Wealth Management?","answer":"Balanced Wealth Management’s direct owner is Robert Auclair (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 24 August 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Balanced Wealth Management get paid?","answer":"Balanced Wealth Management is paid through a percentage of assets under management. Its Form ADV lists no commissions or performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Balanced Wealth Management?","answer":"Balanced Wealth Management’s main office is at 1350 Division Road, Suite 204, West Warwick, RI 02893. Its phone number is 401-398-2000. Its website is balancedwealth.com.","source":"Form ADV Part 1A, Item 1.F, filed 24 August 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}