Hedge Fund Database

BALLAST ASSET MANAGEMENT

BALLAST ASSET MANAGEMENT, LP Legal Name

Adviser information for BALLAST ASSET MANAGEMENT last updated from Form ADV on March 22nd, 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 Partnership
Fiscal Year End DECEMBER
Legal Location Texas, United States

Employees

Total Number of Employees 5
Investment Advisory/Research 3
Registered Broker-Dealer Representatives 0
Registered State Investment Advisers 1
Licensed Agents of an Insurance Company 0
No. of Firms/People that Solicit Clients 1

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 2 $168.5M
Non-Discretionary 0 $0
Total 2 $168.5M

Clients

Type Number RAUM
Individuals 0 $0
HNW Individuals 0 $0
Banking or thrift institutions 0 $0
Investment companies 1 $124.8M
Business development companies 0 $0
Pooled investment vehicles 0 $0
Pension and profit sharing plans <5 $43.7M
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 0
No. of Non-U.S. Clients 0

Services

Advisory Services Portfolio management for individuals and/or small businessesPortfolio management for investment companies
Compensation % of AUM

Identifiers

SEC RIA File Number 801-119749
SEC ERA File Number 801-119749
SEC CIK Numbers 1998389
SEC CRD Numbers 311116
Legal Entity Identifier None

Principal Office

2911 TURTLE CREEK BLVD
SUITE 840
DALLAS
TX
United States
Monday - Friday, 8 AM TO 5 PM
Tel: 469-420-5220, Fax: None

Websites

ballastam.com/ www.linkedin.com/company/ballast-asset-management/ www.mgmtetf.com

Chief Compliance Officer

STEFANIE KENNEDY
2911 TURTLE CREEK BLVD
SUITE 840
DALLAS
TX
United States
Tel: 469-420-5225
(Full email address available in API data)

Regulatory Contact

JOHN BLUE
MANAGING PARTNER FOR PINE ADVISOR SOLUTIONS
501 CHERRY STREET, STE 610
DENVER
CO
United States
Tel: 720-651-8006
(Full email address available in API data)

Industry Affiliates

INVERDALE CAPITAL MANAGEMENT, LLC Other investment adviser, including financial planners

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
None

Control Persons

Name Type Entity Title Since Ownership
STIENKE, RAGEN, R Individual – MANAGING PARTNER 09/2020 > 75%
INVERDALE CAPITAL MANAGEMENT, LLC Domestic Entity – GENERAL PARTNER 09/2020 < 5%
Hardy, William, Guerdan Individual INVERDALE CAPITAL MANAGEMENT, LLC CHIEF FINANCIAL OFFICER AND CCO 01/2017 25-50%
SMALL, RYAN, MARTIN Individual INVERDALE CAPITAL MANAGEMENT, LLC MANAGER AND MEMBER 10/2012 50-75%
KENNEDY, STEFANIE Individual – CCO 03/2022 < 5%
SINGHANIA, JAI, KRISHNA Individual – CO-PORTFOLIO MANAGER 05/2023 10-25%
FOGARTY, THOMAS, W Individual – CO-PORTFOLIO MANAGER 05/2023 10-25%

No. Employees, Historic

10502020202120222023202420257 on 10/7/20207 on 10/13/20207 on 12/23/20207 on 3/30/20217 on 1/28/20223 on 3/31/20225 on 3/16/20235 on 3/16/20235 on 9/29/20235 on 3/22/2024

RAUM, Historic

200M100M02020202120222023202420250 on 10/7/20200 on 10/13/20200 on 12/23/202011278564 on 3/30/202111278564 on 1/28/202249178721 on 3/31/202266876193 on 3/16/202366876193 on 3/16/202366876193 on 9/29/2023168469249 on 3/22/2024

No. Clients, Historic

201002020202120222023202420250 on 10/7/20200 on 10/13/20201 on 12/23/202013 on 3/30/202113 on 1/28/20224 on 3/31/20223 on 3/16/20233 on 3/16/20233 on 9/29/20231 on 3/22/2024

Holdings

From latest 13F, filed August 14th, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
INTL GNRL INSURANCE HLDNGS L SHS 4M 298K –
GENPACT LIMITED SHS 2M 53K –
FERROGLOBE PLC SHS 3M 597K –
BIOCERES CROP SOLUTIONS CORP SHS 4M 318K –
AMDOCS LTD SHS 3M 42K –
CLIMB GLOBAL SOLUTIONS INC COM 6M 97K –
UFP TECHNOLOGIES INC COM 3M 10K –
TRIPADVISOR INC COM 3M 187K –
TIMKEN CO COM 2M 31K –
TERADATA CORP DEL COM 5M 139K –
SPROUTS FMRS MKT INC COM 4M 47K –
SOLARIS OILFIELD INFRASTRUCT COM CL A 4M 507K –
SITIO ROYALTIES CORP CLASS A COM 3M 115K –
RIMINI STR INC DEL COM 3M 1M –
RCM TECHNOLOGIES INC COM NEW 2M 125K –
PHINIA INC COMMON STOCK 6M 142K –
PATRICK INDS INC COM 3M 34K –
NORTHERN TECHNOLOGIES INTL C COM 3M 177K –
NATURAL RESOURCE PARTNERS L COM UNIT LTD PAR 8M 85K –
MGIC INVT CORP WIS COM 6M 281K –
LENNOX INTL INC COM 4M 8K –
LANDSTAR SYS INC COM 5M 25K –
KOSMOS ENERGY LTD COM 3M 557K –
KNOWLES CORP COM 3M 174K –
IRADIMED CORP COM 2M 42K –
INTERNATIONAL MNY EXPRESS IN COM 5M 219K –
IPG PHOTONICS CORP COM 3M 35K –
GREEN PLAINS INC COM 3M 195K –
GLOBAL BUSINESS TRAVEL GROUP COM CL A 3M 411K –
GEO GROUP INC NEW COM 5M 325K –
FEDERAL AGRIC MTG CORP CL C 7M 37K –
EXTREME NETWORKS COM 2M 144K –
EPSILON ENERGY LTD COM 2M 408K –
ECOVYST INC COM 3M 306K –
EAGLE MATLS INC COM 5M 22K –
EPR PPTYS COM SH BEN INT 3M 77K –
QUIDELORTHO CORP COM 857K 26K –
CONSOL ENERGY INC NEW COM 6M 59K –
COMPASS MINERALS INTL INC COM 1M 130K –
CAVCO INDS INC DEL COM 6M 16K –
CASS INFORMATION SYS INC COM 5M 114K –
CAPITAL BANCORP INC MD COM 4M 200K –
BRINKS CO COM 4M 36K –
BORGWARNER INC COM 3M 98K –
BEL FUSE INC CL B 5M 72K –
BAUSCH PLUS LOMB CORP COMMON SHARES 3M 224K –
ATKORE INC COM 3M 23K –
AMERICAS CAR-MART INC COM 3M 51K –
AZZ INC COM 6M 75K –
ALPHA METALLURGICAL RESOUR I COM 809K 3K –
LAMAR ADVERTISING CO NEW CL A 261K 2K –