Balance Investments
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$2,800,000
Clients
36
0% high-net worth
Advisors
1
of 1 employees
Firm type
Independent
1 advisor
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
36
HighAverage account size
$77,778
About
Balance Investments provides investment advisory services and financial planning to individuals, high‑net‑worth individuals and businesses, delivering portfolio management, written financial plans and ongoing reviews. The firm also offers public educational seminars and webinars, both complimentary and paid, as part of its client education offerings.
The firm's investment approach centers on a core‑satellite strategic allocation that is tailored to a client’s age, life stage, time horizon and risk tolerance, emphasizing long‑term core holdings with periodic rebalancing. Balance Investments combines fundamental and technical analysis to select ETFs, mutual funds, stocks and bonds, and may implement tactical or alternative positions when appropriate.
A distinctive element of the firm is that its principal is a licensed insurance agent who, in that separate capacity, may offer commissionable insurance and annuity products to clients and allocates a portion of time to those activities; the firm discloses this arrangement and potential conflicts of interest. The firm manages a relatively modest asset base for a small client roster and offers a modular, a‑la‑carte financial planning process alongside its public seminar program, which are less common among peers.
Client services
Financial planning
Portfolio management
Educational seminars or workshops
Expertise
General retirement planning
College savings (529s, UTMA, etc.)
Wealth management
Fee options
First and second financial planning appointments billed at a combined flat fee of $250.
$0 - $250,000: 2.00% annually $250,001 - $750,000: 1.75% annually $750,001 - $1,500,000: 1.50% annually $1,500,001 - $2,500,000: 1.25% annually $2,500,001 - $5,000,000: 1.00% annually $5,000,001+: 0.75% annually
Commissions earned from insurance and annuity sales by associated persons licensed as insurance agents; commissions separate from advisory fees.
Financial planning work billed at $175 per hour after initial flat fee appointments.
Fee-only: Financial planning fees: $600 minimum; first two appointments $250 combined flat fee; $175 per hour thereafter; typical total plan fee ranges from $600 to $2,100 for first year; subsequent reviews billed at $175 per hour.
Main office location
Balance Investments
Statesville NC, United States
Number of offices
1
Most active in
Balance Investments has reported serving >5 clients in these states in the last 12 months.
Illinois · North Carolina
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Is not active or affiliated with:
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
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