BALLAST FINANCIAL ADVISORS, LLC
Adviser information for BALLAST FINANCIAL ADVISORS, LLC last updated from Form ADV on February 28th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 6 |
|---|---|
| Investment Advisory/Research | 6 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 6 |
| Licensed Agents of an Insurance Company | 3 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 648 | $87.9M |
| Non-Discretionary | 695 | $159.4M |
| Total | 1,343 | $247.4M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 423 | $77.4M |
| HNW Individuals | 125 | $155.2M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 5 | $14.8M |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 5 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 1-10 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPension consulting servicesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 0 |
| Both for Same | 127.4M |
| Portfolio Manager to Program | Sponsor |
|---|---|
| BALLAST FINANCIAL ADVISORS WRAP PROGRAM | BALLAST FINANCIAL ADVISORS, LLC |
Identifiers
| SEC RIA File Number | 801-117158 |
|---|---|
| SEC ERA File Number | 801-117158 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 304430 |
| Legal Entity Identifier | None |
Principal Office
535 N. CHURCH ST.SUITE 205
WEST CHESTER
PA
United States
Monday - Friday, 9:00AM-5:00PM
Tel: 484-266-7281, Fax: 484-947-0808
Websites
www.anchorcap.net/
www.linkedin.com/in/daniel-mchugh-98719730/
www.ballastfa.com
www.linkedin.com/company/ballast-financial-advisors/
www.linkedin.com/in/joseph-baker-cpa-cfp�-6bb86b9/
www.linkedin.com/in/daniel-e-70036014a/
www.linkedin.com/in/markallenmay/
www.linkedin.com/company/anchor-capital-management-llc/
www.facebook.com/ballastfawestchesterpa/
Chief Compliance Officer
JOSEPH D. BAKER
PARTNER, OWNER
33 THE CIR.
GEORGETOWN
DE
United States
Tel:
302-253-8437
Fax:
302-858-4193
J***********@************M
(Full email address available in API data)
Regulatory Contact
DANIEL P. MCHUGH
PARTNER, OWNER
535 N. CHURCH ST.
SUITE 205
WEST CHESTER
PA
United States
Tel:
484-266-7281
Fax:
484-947-0808
D************@************M
(Full email address available in API data)
Industry Affiliates
| BALLAST & ASSOCIATES, LLC | Accountant or accounting firm |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| BAKER, JOSEPH, DAVID | Individual | – | MANAGING MEMBER & CHIEF COMPLIANCE OFFICER | 07/2019 | 25-50% |
| MC HUGH, DANIEL, PATRICK | Individual | – | MANAGING MEMBER | 07/2019 | 50-75% |