BALLAST, INC.
Firm details
- Headquarters
- Lexington, Kentucky
- CRD number
- 152695
- Registered since
- April 25, 2014
- Website
- ballastplan.com
- Custodians
- CHARLES SCHWAB & CO., INC.
- Fee structure
- Percentage of AUM, Hourly Charges, Fixed Fees, Other
- Client types
- HNWI83.44%
- Individuals11.75%
- Pension & Profit Sharing Plans3.88%
- State / Municipal Government0.52%
- Charitable Organizations0.31%
- Services
- Financial PlanningPortfolio Management for IndividualsPension ConsultingSelection of Other Advisers
Firm profile
FINTRXOverview
Ballast, Inc. is an independent registered investment adviser structured as a corporation and SEC-registered since 2014. The firm identifies as a capital allocator and serves both individual/family clients and institutional clients. Its advisory services include financial planning, portfolio management for individuals and small businesses, selection of other advisers, and pension consulting. Ballast charges multiple fee types — asset-based fees, hourly fees, fixed fees and other arrangements — and does not market itself as an active ESG investor. Ballast was recognized on FA Magazine’s Top RIA Firms list in 2020. The firm lists Charles Schwab as its primary custodian and manages a mix of public funds and third-party strategies alongside direct equity and fixed-income exposures.
Assets & Accounts
Public Holdings
Investments & Alternatives
Investment profile
FINTRXTraditional investments used
Alternative investments used
Active ESG investor
Technology & operations
FINTRXCRM & tech providers
TAMPs used
Clients
FINTRXClient base
Client personas
Asset composition
- Public Funds/Mutual Funds69%
- Exchange Traded Equities22%
- Cash & Cash Equivalents5%
- US Government Bonds4%
Owners & executives
2 of 2ANDREW REYNOLDS
Partner, COOCRD 5603070
Jeffrey Lehmann
Chief Compliance OfficerCRD 6996173
Contacts
3 of 6BRIAN BURTON
PartnerCRD 6462101
CAMERON HAMILTON
Director of Financial PlanningCRD 6264219
Frank Yozwiak
Director of Estate Planning & TaxCRD 6864231
Wealth teams
FINTRXNewly hired reps
FINTRXRecent M&A activity
FINTRXRecent filings
FINTRXAwards
FINTRXETF holdings
1 of 43Active vs passive
$309M in ETFs
93%
$286M
0%
$22.9M
| ETF | Provider | Style | Category | Value | Shares | % of portfolio |
|---|---|---|---|---|---|---|
| VANGUARD SMALL-CAP INDEX FUND (VB) | Vanguard | Passive | Small Blend | $45M | 171,762 | 14.54% |
Location
Lexington, KY
FAYETTE
Location
Lexington, KY
Headquartered in Lexington, KY, anchoring the Lexington-Fayette--Richmond--Frankfort, KY metro in the South.
- Metro area
- Lexington-Fayette--Richmond--Frankfort, KY
- Region
- South
- County
- FAYETTE
- Address
- 400 E Vine St
- Time zone
- CT (UTC-6)
- Office locations
Similar firms
ASIO CAPITAL LLC
RIALexington, KY
JOULE FINANCIAL, LLC
RIALexington, KY
ALPHA FINANCIAL PARTNERS LLC
RIALexington, KY
PARAGON PRIVATE WEALTH MANAGEMENT LLC
RIALexington, KY
DUPREE FINANCIAL GROUP, LLC
RIALexington, KY
FWG INVESTMENTS, LLC
RIALexington, KY