James Gazis

Credentials: CFP®

120 S. LaSalle St.
Suite 1940
Chicago, Illinois, 60603
Telephone: 312.759.5172
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Registry Member Since 2012
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Business Philosophy

At Balanced Asset Strategies, your interests always come first. As an independent Registered Investment Advisor, we are free from conflicts of interest and work for you. Together, we will create a financial plan and investment strategy implementing both your personal and economic objectives. What is most important to you? How do we get there? Our investment philosophy is growing and protecting your savings by avoiding catastrophic losses through tactical asset allocation and the diligent use of portfolio insurance. You cannot manage market returns but you can manage risk. We have the necessary experience to navigate through all types of markets and more importantly to facilitate meaningful progress toward all of your goals.

1. What are your firm names?
  • Registered Investment Advisor

    Balanced Asset Strategies, Ltd.

  • Broker Dealer

    TD Ameritrade Institutional

2. What is your type of RIA registration?
  • SEC
3. Are you a sole practitioner or a member of a firm or team?
  • Sole Practitioner
4. What is your relationship to your Registered Investment Advisor?
  • Owner
5. What are your years of applicable financial service experience?
  • 18 Years
6. Do you have any college degree(s)?
School
Degree
Major
University of Illinois
BS in Finance
University of Illinois
JD
7. Do you belong to any industry associations?
  • Financial Planning Association
  • Illinois State Bar Association
8. What is your CRD or IARD number?
  • 2435740
9. Do you hold any active securities licenses?
  • 66
10. Which categories of financial services do you provide?
  • Financial Planning Advice & Services
  • Investment Advice & Services
  • Insurance Advice & Services
  • Tax Advice & Services
11. Which planning services do you provide?
  • Financial Plans
  • Retirement Plans
  • College Plans
  • Estate Plans
  • Charitable Plans
  • Tax Plans
12. Which investment advisory services do you provide?
  • Investment Strategy & Policy
  • Risk Management
  • Rebalancing
  • Performance Reports
  • Asset Allocation
13. If you make investment decisions for clients, how do you invest their assets?
  • Did Not Provide
14. How many clients (not accounts) do you currently service?
  • Did Not Provide
15. What amount of client assets is currently under your management or advisement?
  • Did Not Provide
16. What is your minimum fee for your planning services?
  • Did Not Provide
17. What is your minimum fee for your investment services?
  • Did Not Provide
18. What is your minimum asset requirement for your investment services?
  • $500,000
19. What is your minimum net worth requirement for your planning services?
  • Did Not Provide
20. What type of compensation do you receive for your planning services?
  • Asset Based Fees
  • Hourly Fees
21. What type of compensation do you receive for your investment advisory services?
  • Asset Based Fees
  • Hourly Fees
22. Do you work with remote clients over the Internet and telephone?
  • Yes
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23. Do you hold any active insurance licenses?
  • Life, Disability, Health
24. Are you a Registered Investment Advisor or an Investment Advisor Representative?
  • Yes
25. Do you acknowledge you are a fiduciary when you provide financial advice and services for fees?
  • Yes
26. What states are covered by your registration(s) to sell investment advisory services?
  • Illinois
27. What states are covered by your registration(s) to sell investment and brokerage products?
  • Did Not Provide
28. What states are covered by your registration(s) to sell insurance products?
  • Did Not Provide
29. Do you have any compliance disclosures for the past 5 years?
  • Investment Disclosures: No
  • Insurance Disclosures: No
30. Do you have any criminal disclosures since you became an adult?
  • Misdemeanors: No
  • Felonies: No
31. How do investors view your ADV Part II?
  • Available Upon Request
32. Additional Disclosure Statements or Comments
  • Not applicable.
33. What languages do you speak fluently?
  • Did Not Provide
34. What is your primary role?
  • Did Not Provide
35. Which investment products do you sell?
  • Mutual Funds
  • Derivatives
  • Other
36. Which insurance products do you sell?
  • Life
  • Fixed Annuities
  • Long Term Care
  • Disability Income
37. Do you provide tax advice and services?
  • No
38. Do you provide legal advice and services?
  • Did Not Provide
39. Do you provide any limited engagement services?
  • Did Not Provide
40. What types of clients do you work with?
  • Individuals
  • Companies (Non-Pension)
  • Companies (Pension)
  • Public Funds
  • Foundations
41. Where does your first meeting with a prospective client take place?
  • Investor's Preference
42. Which companies act as custodians for your clients assets?
  • TD Ameritrade Institutional
43. What types of reports do you provide your clients and what is the frequency?
44. General Comments:

Did Not Provide

Certification

I certify all of the information in my professional profile is accurate and up-to-date.
Advisor Name: James Gazis
Most Recent Update: Jun 19, 2013

www.balancedassetstrategies.com

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