{ "crd_number": 264789, "slug": "balance-point-capital-advisors-llc-westport-ct-264789", "primary_business_name": "BALANCE POINT CAPITAL ADVISORS, LLC", "legal_name": "BALANCE POINT CAPITAL ADVISORS, LLC", "dbas": [], "city": "Westport", "state": "CT", "country": "United States", "cbsa_code": "14860", "metro": { "cbsa_code": "14860", "common_name": "Bridgeport", "msa_name": "Bridgeport-Stamford-Danbury, CT", "path": "/advisors/ct/bridgeport" }, "registration_type": "sec", "registration_status": "Approved", "registration_date": "2015-07-24", "years_registered": 11, "period": "2026-10-01", "filing_date": "2026-04-22", "carried_forward": false, "raum_total": 2442083777.0, "raum_discretionary": 2442083777.0, "raum_non_discretionary": 0.0, "raum_band": "1b_5b", "raum_band_label": "$1 billion to $5 billion", "total_employees": 23, "advisory_employees": 13, "client_count_bucket": "fewer_than_5_in_some_types", "clients_by_type": { "other": { "raum": 17749815.0, "count": null, "description": "FUND OF ONE", "fewer_than_5": true }, "pooled_investment_vehicles": { "raum": 2424333962.0, "count": 6 } }, "compensation_types": [ "other", "percentage_of_aum", "performance_based" ], "advisory_activities": [ "portfolio_management_pooled_vehicles" ], "wrap_fee_participant": false, "disclosure_yes_count": 0, "states_registered": [ "CT" ], "websites": [ "https://balancepointcapital.com", "https://linkedin.com/COMPANY/BALANCE-POINT-CAPITAL-PARTNERS-L-P-" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/264789", "city_as_filed": "WESTPORT", "url": "https://advisorcensus.com/firm/balance-point-capital-advisors-llc-westport-ct-264789", "display_name": "Balance Point Capital Advisors, LLC", "summary": "Balance Point Capital Advisors, LLC is an SEC-registered investment advisory firm in Westport, CT, registered since 2015, reporting $1 billion to $5 billion in regulatory assets under management in its Form ADV filing dated April 22, 2026.", "citation": "AdvisorCensus. Balance Point Capital Advisors, LLC (CRD 264789): Form ADV filing data as of October 2026.", "registration_type_label": "SEC-registered investment adviser", "compensation_labels": [ "A percentage of assets under your management", "Performance-based fees", "Other" ], "advisory_activity_labels": [ "Portfolio management for pooled investment vehicles (other than investment companies)" ], "quick_answers": [ { "q": "How is Balance Point Capital Advisors, LLC compensated?", "a": "On its Form ADV (Item 5.E, October 2026), Balance Point Capital Advisors, LLC reports these compensation arrangements: a percentage of assets under its management; performance-based fees; other. The amounts are in Item 5 of its Form ADV Part 2A brochure." }, { "q": "Where is Balance Point Capital Advisors, LLC located?", "a": "Balance Point Capital Advisors, LLC's principal office is in Westport, CT, according to its Form ADV." }, { "q": "Is Balance Point Capital Advisors, LLC registered with the SEC or a state?", "a": "Balance Point Capital Advisors, LLC is an SEC-registered investment advisory firm, registered since 2015. Status as filed: Approved. CRD 264789." }, { "q": "How much does Balance Point Capital Advisors, LLC manage?", "a": "Balance Point Capital Advisors, LLC reports $2,442,083,777 in regulatory assets under management in its Form ADV filing dated April 22, 2026 (100% discretionary)." }, { "q": "How have Balance Point Capital Advisors, LLC's assets and staff changed since 2021?", "a": "In the Form ADV data for Balance Point Capital Advisors, LLC: Regulatory assets under management: $1,349,707,977 in the October 2021 data and $2,442,083,777 in the October 2026 data, up 81%. Total employees: 12 in October 2021 and 23 in October 2026. Assets under management move with markets as well as with clients coming and going." }, { "q": "What types of clients does Balance Point Capital Advisors, LLC serve?", "a": "By number of clients on Form ADV Item 5.D: pooled investment vehicles (other than investment companies and business development companies) (6)." }, { "q": "Does Balance Point Capital Advisors, LLC report any disciplinary disclosures?", "a": "Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/264789" }, { "q": "What changed in Balance Point Capital Advisors, LLC's recent Form ADV filings?", "a": "In the April 2026 filing data: Employees performing advisory functions went from 12 to 13. Regulatory assets under management went from $2,177,510,791 to $2,442,083,777 (+12%)." } ], "filing_history": [ { "period": "2021-10-01", "regulatory_assets_under_management": 1349707977.0, "total_employees": 12, "filing_date": "2021-03-30" }, { "period": "2022-10-01", "regulatory_assets_under_management": 1942356678.0, "total_employees": 11, "filing_date": "2022-06-03" }, { "period": "2023-10-01", "regulatory_assets_under_management": 1541869899.0, "total_employees": 15, "filing_date": "2023-03-31" }, { "period": "2024-10-01", "regulatory_assets_under_management": 2030700480.0, "total_employees": 17, "filing_date": "2024-03-29" }, { "period": "2025-10-01", "regulatory_assets_under_management": 2177510791.0, "total_employees": 19, "filing_date": "2025-04-16" }, { "period": "2026-10-01", "regulatory_assets_under_management": 2442083777.0, "total_employees": 23, "filing_date": "2026-04-22" } ], "recent_changes": [ { "period": "2026-04-01", "period_label": "April 2026", "notes": [ "Employees performing advisory functions went from 12 to 13.", "Regulatory assets under management went from $2,177,510,791 to $2,442,083,777 (+12%)." ] }, { "period": "2025-12-01", "period_label": "December 2025", "notes": [ "Updated its list of owners and control persons (Schedule A)." ] } ], "fees_from_brochure": null, "custodians": [], "custodians_note": null, "markdown_url": "https://advisorcensus.com/firm/balance-point-capital-advisors-llc-westport-ct-264789.md", "clients": [ { "type": "pooled_investment_vehicles", "label": "Pooled investment vehicles (other than investment companies and business development companies)", "count": 6, "fewer_than_5": false, "raum": 2424333962.0 }, { "type": "other", "label": "Other", "count": null, "fewer_than_5": true, "raum": 17749815.0 } ], "disclosure_line": "Reports no disclosure items on Form ADV Item 11.", "disclosure_items": [], "indexable": true, "suppressed": false, "claimed": false, "enhanced": false, "provided_by_the_firm": null, "source": { "name": "Form ADV", "as_of": "2026-10-01", "iapd_url": "https://adviserinfo.sec.gov/firm/summary/264789", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }