Appropriate Balance Financial Services Inc (Bellevue)


Appropriate Balance Financial Services Inc is a large advisory firm based in Bellevue. It manages $310.8 million of regulatory assets for 878 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdictions of Arizona, California, Colorado, and 6 other states.

Appropriate Balance Financial Services provides financial planning services, portfolio management for individuals and small businesses, portfolio management for businesses and institutional clients, and selection of other advisers. It prepares financial plans for more than 50 clients. On top of advisory services, the firm doesn't engage in other business activities.

Appropriate Balance Financial Services: assets under management

The assets under management (AUM) of Appropriate Balance Financial Services Inc is $310.8 million. The firm's AUM has grown by 76% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $292.6 million in discretionary accounts and $18.2 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $362.13 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $260 thousand.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Appropriate Balance Financial Services Inc for their services and products based on a percentage of assets under management, hourly charges, and fixed fees. Flat-fee based compensation is the most transparent and the one you can safely predict in advance. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at Appropriate Balance Financial Services Inc

Bruce Martin Yates has been acting as President since 1 Aug 1984. Robert Maynard Pennell joined the executive team most recently as the Director.

Direct owners and executive officers


Name Entity Date acquired Ownership Employer ID
Bruce Martin Yates President/co-owner 1 Aug 1984 50% - 75% 874023
Robert Maynard Pennell Vice president/co-owner 1 Dec 2001 25% - 50% 872802
Philip Thomas Platt Chief compliance officer 1 Oct 2004 Other 4811718
Mark Dean Jaeger Chief compliance officer 1 Mar 2011 Other 1308398
Robert Maynard Pennell Director 1 Feb 2017 Other 872802
Bruce Martin Yates Director 1 Feb 2017 Other 874023
Mark Dean Jaeger Chief compliance officer 1 Feb 2017 Other 1308398
Adriel Tam President 1 Feb 2017 Other 5301024
Marcus Delvin Dusenbury Director 1 Feb 2017 Other 3081199
Inc. Appropriate Balance Holdings Holding company 1 Feb 2017 75% - 100% 81-5151719

Based in Bellevue

The principal office where Appropriate Balance Financial Services Inc performs its advisory services is located at 11245 Se 6 Th Street, Suite 210, Bellevue, WA 98004, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 425-451-0499 or by fax 425-451-1316. The normal business hours are 7:30 am to 4:00pm on Monday - Friday. You can find more information about the New York firm at appropriatebalance.com.