BALLAST ROCK CAPITAL LLC

Broker-DealerFINRA MemberEst. 2023
Total AUM
Advisory reps
8
Avg account
$0

Firm details

Headquarters
CHARLESTON, South Carolina
CRD number
322170
Registered since
April 14, 2023

Firm profile

FINTRX

Overview

Ballast Rock Capital LLC is organized as a limited liability company and is listed as an SEC-registered adviser with a registration year of 2023. Ownership is recorded as a mix of a domestic entity and an individual. The firm's classification in the FINTRX snapshot is listed as unclassified, and publicly reported profile fields for core business and advisory activities are blank, so the firm’s investment focus and service mix are not detailed in the available records. The snapshot flags several status items: Ballast Rock Capital is not identified as a capital allocator, is not marked as an active ESG investor, is not a pension consultant, and is not recorded as a related adviser. It is also recorded as not being a multistate adviser. Those attributes come directly from the firm’s brief FINTRX entry rather than from descriptive materials or published strategy documents.

Assets & Accounts

Location & Offices

Investment profile

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Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

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CRM & tech providers

TAMPs used

Clients

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Client base

Client personas

Owners & executives

3 of 5
  • THOMAS CARROLL-CONNELL

    Founder & CEOCRD 4992661

  • CARRIE SCHNEIDMAN

    Co-Chief Compliance OfficerCRD 3137950

  • Simon O'Shea

    Chief Investment OfficerCRD 4433957

Unlock 2 more executives

Contacts

3 of 3
  • DENNIS AZARY

    CCOCRD 2384263

  • MAXWELL JACKSON

    Managing DirectorCRD 6979850

  • TROY DAVIDSON

    Wealth AdvisorCRD 5633234

Wealth teams

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Newly hired reps

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Recent M&A activity

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Recent filings

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Awards

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Location

Primary office

CHARLESTON, SC

CHARLESTON

Location

CHARLESTON, SC

Headquartered in CHARLESTON, SC, in the South of the United States.

Region
South
County
CHARLESTON
Address
460 King St
Time zone
ET (UTC-5)
Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth