Balis Enterprises Llc
- Regulatory AUM
- $444M
- Discretionary
- $444M
- Clients
- 3
- Avg AUM / client
- $148M
- Accounts
- 1,338
- Employees
- 8
AUM over time
Annual snapshots from Form ADV filings · as of Jun 04, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Other investment advisers | 3 | $444M | 100.0% |
People (6)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Thomas L Balis | Principal & Chief Investment Officer | CFA | May 2021 (5y) | 75% or more |
| Kelvin, Jeffrey | Chief Compliance Officer | Oct 2024 (2y) | Less than 5% | |
| Michael Howard Rivers | Registered representative | CFA | Sep 2021 (5y) | |
| Scott Allen Bettin | Registered representative | CFA | Sep 2022 (4y) | |
| Matthew John Haertzen | Registered representative | CFP CFA | Dec 2025 (1y) | |
| Jamie Lynn Schumacher | Registered representative | CFA | Jun 2026 (0y) |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 06/04/2026 | 1020 KB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Fixed fees
Services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
- • Selection of other advisers
Custody
Reported custodians
- Fidelity Brokerage Services $192M (33% of AUM) Oct 2022
- Capitol Federal Savings Bank $110M (25% of AUM) Jun 2026
- Charles Schwab & Co. Jun 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Jun 04, 2026.
View current Form ADV (SEC/IAPD) ↗