Hedge Fund Database

BALLAST, INC.

Adviser information for BALLAST, INC. last updated from Form ADV on February 21st, 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 Kentucky, United States

Employees

Total Number of Employees 12
Investment Advisory/Research 6
Registered Broker-Dealer Representatives 0
Registered State Investment Advisers 7
Licensed Agents of an Insurance Company 4
No. of Firms/People that Solicit Clients 0

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 1,560 $511.5M
Non-Discretionary 187 $32.4M
Total 1,747 $543.9M

Clients

Type Number RAUM
Individuals 239 $89.6M
HNW Individuals 181 $435.8M
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 14 $17.8M
Charitable organizations <5 $659,731
State or municipal gov entities <5 $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 1
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 feesPERCENTAGE OF CLIENT'S NET WORTH

Identifiers

SEC RIA File Number 801-79651
SEC ERA File Number 801-79651
SEC CIK Numbers 1730477
SEC CRD Numbers 152695
Legal Entity Identifier None

Principal Office

400 EAST VINE ST
SUITE 400
LEXINGTON
KY
United States
Monday - Friday, 8:30 A.M. - 5:00 P.M.
Tel: 859-226-0625, Fax: 859-226-0623

Websites

www.youtube.com/channel/uc_o6sqnd89zpmzs3vuybzsg www.ballastplan.com www.facebook.com/ballastplan/ www.linkedin.com/company/ballastplan/ www.instagram.com/ballast_inc/

Chief Compliance Officer

JEFFREY E. LEHMANN
DIRECTOR OF OPERATIONS
400 EAST VINE ST
SUITE 400
LEXINGTON
KY
United States
Tel: 859-226-0625
Fax: 859-226-0623
(Full email address available in API data)

Regulatory Contact

JOHN V. BOARDMAN III
PRESIDENT
400 EAST VINE ST
SUITE 400
LEXINGTON
KY
United States
Tel: 859-226-0625
Fax: 859-226-0623
(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
BURTON, BRIAN, TODD Individual – TREASURER, DIRECTOR OF PORTFOLIO STRATEGY 01/2018 5-10%
BOARDMAN, JOHN, VALENTINE Individual – PRESIDENT 01/2008 50-75%
REYNOLDS, ANDREW, JOSEPH Individual – VICE PRESIDENT 03/2010 25-50%
HAMILTON, CAMERON, K Individual – SECRETARY, DIRECTOR OF FINANCIAL PLANNING 01/2018 5-10%
Lehmann, Jeffrey, Edmund Individual – CHIEF COMPLIANCE OFFICER 08/2020 < 5%

No. Employees, Historic

2010020192020202120222023202420258 on 9/26/20198 on 12/20/20198 on 3/25/20208 on 4/21/20208 on 6/29/20208 on 9/11/20209 on 3/9/20219 on 8/17/20219 on 9/7/20216 on 3/4/20226 on 10/18/20226 on 10/31/202212 on 3/14/202312 on 8/15/202312 on 10/3/202312 on 10/23/202312 on 12/6/202312 on 2/21/2024

RAUM, Historic

600M300M02019202020212022202320242025225428105 on 9/26/2019225428105 on 12/20/2019286581111 on 3/25/2020286581111 on 4/21/2020286581111 on 6/29/2020286581111 on 9/11/2020358398083 on 3/9/2021358398083 on 8/17/2021358398083 on 9/7/2021462991449 on 3/4/2022462991449 on 10/18/2022462991449 on 10/31/2022423413984 on 3/14/2023423413984 on 8/15/2023423413984 on 10/3/2023423413984 on 10/23/2023423413984 on 12/6/2023543897082 on 2/21/2024

No. Clients, Historic

50025002019202020212022202320242025310 on 9/26/2019310 on 12/20/2019319 on 3/25/2020319 on 4/21/2020319 on 6/29/2020319 on 9/11/2020356 on 3/9/2021356 on 8/17/2021356 on 9/7/2021378 on 3/4/2022378 on 10/18/2022378 on 10/31/2022367 on 3/14/2023367 on 8/15/2023367 on 10/3/2023367 on 10/23/2023367 on 12/6/2023434 on 2/21/2024

Holdings

From latest 13F, filed July 15th, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
ABBOTT LABS COM 341K 3K –
ABBVIE INC COM 542K 3K –
ACCENTURE PLC IRELAND SHS CLASS A 286K 944 –
ADVANCED MICRO DEVICES INC COM 1M 8K –
AFLAC INC COM 401K 4K –
ALPHABET INC CAP STK CL A 2M 9K –
ALPHABET INC CAP STK CL C 918K 5K –
AMAZON COM INC COM 3M 16K –
APPLE INC COM 12M 59K –
AT&T INC COM 323K 17K –
BANK AMERICA CORP COM 2M 44K –
BERKSHIRE HATHAWAY INC DEL CL B NEW 2M 6K –
BOEING CO COM 1M 7K –
CATERPILLAR INC COM 942K 3K –
CHEVRON CORP NEW COM 265K 2K –
CHUBB LIMITED COM 1M 5K –
CHURCH & DWIGHT CO INC COM 268K 3K –
CINCINNATI FINL CORP COM 331K 3K –
CISCO SYS INC COM 1M 27K –
COCA COLA CO COM 864K 14K –
COGNIZANT TECHNOLOGY SOLUTIO CL A 311K 5K –
CONOCOPHILLIPS COM 388K 3K –
CONSOLIDATED EDISON INC COM 1M 15K –
CORNING INC COM 454K 12K –
COSTCO WHSL CORP NEW COM 3M 3K –
DANAHER CORPORATION COM 1M 5K –
DEERE & CO COM 1M 3K –
DISNEY WALT CO COM 1M 12K –
DUKE ENERGY CORP NEW COM NEW 2M 16K –
DUPONT DE NEMOURS INC COM 1M 17K –
ELI LILLY & CO COM 4M 4K –
EMERSON ELEC CO COM 317K 3K –
EXXON MOBIL CORP COM 1M 13K –
FEDEX CORP COM 319K 1K –
GENERAL DYNAMICS CORP COM 483K 2K –
GENERAL MLS INC COM 203K 3K –
GREEN BRICK PARTNERS INC COM 4M 73K –
GXO LOGISTICS INCORPORATED COMMON STOCK 238K 5K –
HALLIBURTON CO COM 451K 13K –
HOME DEPOT INC COM 2M 5K –
HONEYWELL INTL INC COM 1M 6K –
HUMANA INC COM 583K 2K –
INTEL CORP COM 948K 31K –
INVESCO EXCH TRADED FD TR II S&P500 LOW VOL 12M 188K –
INVESCO EXCHANGE TRADED FD T S&P500 EQL WGT 11M 68K –
INVESCO EXCHANGE TRADED FD T S&P500 QUALITY 22M 349K –
ISHARES TR RUS 1000 GRW ETF 10M 26K –
ISHARES TR 1 3 YR TREAS BD 12M 151K –
ISHARES TR CORE S&P SCP ETF 490K 5K –
ISHARES TR RUS MDCP VAL ETF 300K 2K –
ISHARES TR CORE S&P500 ETF 1M 2K –
ISHARES TR PFD AND INCM SEC 11M 358K –
ISHARES TR CORE S&P MCP ETF 563K 10K –
ISHARES TR IBOXX INV CP ETF 2M 16K –
ISHARES TR CORE US AGGBD ET 2M 17K –
ISHARES TR RUS 1000 VAL ETF 6M 34K –
JOHNSON & JOHNSON COM 3M 22K –
JPMORGAN CHASE & CO. COM 3M 15K –
KIMBERLY-CLARK CORP COM 1M 9K –
KKR & CO INC COM 265K 3K –
MARSH & MCLENNAN COS INC COM 265K 1K –
MASTERCARD INCORPORATED CL A 300K 680 –
MCDONALDS CORP COM 610K 2K –
MEDTRONIC PLC SHS 787K 10K –
MERCK & CO INC COM 455K 4K –
META PLATFORMS INC CL A 280K 556 –
MICRON TECHNOLOGY INC COM 1M 11K –
MICROSOFT CORP COM 7M 16K –
MONDELEZ INTL INC CL A 865K 13K –
NEXTERA ENERGY INC COM 378K 5K –
NIKE INC CL B 1M 14K –
NORFOLK SOUTHN CORP COM 616K 3K –
NORTHERN TR CORP COM 1M 14K –
NORTHROP GRUMMAN CORP COM 308K 707 –
NVIDIA CORPORATION COM 975K 8K –
ORACLE CORP COM 624K 4K –
PACER FDS TR US CASH COWS 100 13M 233K –
PEPSICO INC COM 1M 8K –
PFIZER INC COM 762K 27K –
PNC FINL SVCS GROUP INC COM 464K 3K –
PROCTER AND GAMBLE CO COM 3M 16K –
QUEST DIAGNOSTICS INC COM 234K 2K –
RTX CORPORATION COM 1M 13K –
SALESFORCE INC COM 1M 5K –
SCHWAB STRATEGIC TR US DIVIDEND EQ 365K 5K –
SHERWIN WILLIAMS CO COM 673K 2K –
SPDR GOLD TR GOLD SHS 278K 1K –
SPDR INDEX SHS FDS PORTFOLIO DEVLPD 227K 6K –
SPDR S&P 500 ETF TR TR UNIT 637K 1K –
SPDR SER TR PRTFLO S&P500 GW 395K 5K –
SPDR SER TR PRTFLO S&P500 VL 378K 8K –
STRYKER CORPORATION COM 559K 2K –
SUN LIFE FINANCIAL INC. COM 200K 4K –
TARGET CORP COM 2M 12K –
TESLA INC COM 208K 1K –
TEXAS INSTRS INC COM 1M 8K –
T-MOBILE US INC COM 690K 4K –
TRAVELERS COMPANIES INC COM 1M 7K –
TRUIST FINL CORP COM 2M 42K –
UNION PAC CORP COM 1M 5K –
UNITEDHEALTH GROUP INC COM 8M 15K –
US BANCORP DEL COM NEW 337K 8K –
VALERO ENERGY CORP COM 929K 6K –
VANGUARD INDEX FDS TOTAL STK MKT 287K 1K –
VANGUARD INDEX FDS SMALL CP ETF 30M 136K –
VANGUARD INDEX FDS REAL ESTATE ETF 306K 4K –
VANGUARD INDEX FDS S&P 500 ETF SHS 213K 426 –
VANGUARD INDEX FDS EXTEND MKT ETF 443K 3K –
VANGUARD INDEX FDS MID CAP ETF 31M 129K –
VANGUARD INDEX FDS VALUE ETF 451K 3K –
VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 14M 241K –
VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 3M 62K –
VANGUARD SPECIALIZED FUNDS DIV APP ETF 564K 3K –
VANGUARD WHITEHALL FDS HIGH DIV YLD 13M 109K –
VANGUARD WORLD FD INF TECH ETF 3M 5K –
VANGUARD WORLD FD HEALTH CAR ETF 8M 31K –
VISA INC COM CL A 725K 3K –
WALMART INC COM 2M 28K –
WELLS FARGO CO NEW COM 345K 6K –
XPO INC COM 466K 4K –