BALL & COMPANY
BALL & COMPANY WEALTH MANAGEMENT, INC. Legal Name
Adviser information for BALL & COMPANY last updated from Form ADV on February 10th, 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 | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Tennessee, United States |
Employees
| Total Number of Employees | 4 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 2 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 445 | $175.2M |
| Non-Discretionary | 0 | $0 |
| Total | 445 | $175.2M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 105 | $39.3M |
| HNW Individuals | 57 | $125.8M |
| 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 | $10.1M |
| 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 |
| No. of Financial Planning Clients | 51-100 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting services |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-78146 |
|---|---|
| SEC ERA File Number | 801-78146 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 133950 |
| Legal Entity Identifier | None |
Principal Office
9 SPYGLASS HILLBRENTWOOD
TN
United States
BY APPOINTMENT, BY APPOINTMENT
Tel: 805-376-2779, Fax: 805-435-3710
Chief Compliance Officer
JASON BALL
CEO
9 SPYGLASS HILL
BRENTWOOD
TN
United States
Tel:
(805) 376-2779
Fax:
(805) 435-3710
J****@*****************M
(Full email address available in API data)
Regulatory Contact
CINDY BALL
9 SPYGLASS HILL
BRENTWOOD
TN
United States
Tel:
(805) 376-2779
Fax:
(805) 435-3710
C****@*****************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| BALL, JASON, LINDSAY | Individual | – | PRESIDENT/CEO | 01/2004 | > 75% |
| BALL, JASON, LINDSAY | Individual | – | CHIEF COMPLIANCE OFFICER | 11/2016 | 50-75% |