Ballast, Inc.

RIASEC Registered

Total AUM

$752M

Discretionary

$700M

93% of AUM

Avg account

$398K

Accounts

1,888

Employees

12

Advisory reps

8

Firm details

Headquarters: Lexington, Kentucky
CRD number: 152695
Registered since: April 25, 2014
Website: ballastplan.com
Custodians: CHARLES SCHWAB & CO., INC.
Fee structure: Percentage of AUM, Hourly Charges, Fixed Fees, Other
Client types: HNWI83.44%
Individuals11.75%
Pension & Profit Sharing Plans3.88%
State / Municipal Government0.52%
Charitable Organizations0.31%
Services: Financial PlanningPortfolio Management for IndividualsPension ConsultingSelection of Other Advisers

Firm profile

FINTRX

Overview

Ballast, Inc. is an independent RIA and capital allocator that provides advisory services to both individuals/families and institutional clients. The firm is registered with the SEC (registered in 2014) and is owned by an individual. Its advisory scope includes financial planning, portfolio management for individuals and small businesses, pension consulting, and selection of outside advisers. Fee arrangements are flexible and include percentage-of-AUM, hourly, fixed-fee and other structures. Ballast was recognized on FA Magazine’s Top RIA Firms list in 2020.

Assets & Accounts

Public Holdings

Investments & Alternatives

Read the full firm profile in FINTRX →

Investment profile

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

CRM & tech providers

TAMPs used

Clients

Client base

Client personas

Asset composition

Public Funds/Mutual Funds71%
Exchange Traded Equities21%
Cash & Cash Equivalents5%
US Government Bonds3%

Owners & executives

3 of 3

Andrew Reynolds
Partner, COOCRD 5603070
John Boardman
CEO and FounderCRD 4595652
Jeffrey Lehmann
Chief Compliance OfficerCRD 6996173

Contacts

3 of 5

Cameron Hamilton
Partner, Director Of Financial PlanningCRD 6264219
Frank Yozwiak
Director of Estate Planning & TaxCRD 6864231
Brian Burton
PartnerCRD 6462101

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Wealth teams

Newly hired reps

Recent M&A activity

Recent filings

Awards

ETF holdings

1 of 53

Active vs passive

$366M in ETFs

Passive

93%

$341M

Active

1%

$24.5M

ETF	Provider	Style	Category	Value	Shares	% of portfolio
VANGUARD MORNINGSTAR SMALL-CAP INDEX FUND (VB)	Vanguard	Passive	Small Blend	$53.8M	189,208	14.72%

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Primary office

Lexington, KY

Fayette

Location

Lexington, KY

Headquartered in Lexington, KY, anchoring the Lexington-Fayette--Richmond--Frankfort, KY metro in the South.

Metro area: Lexington-Fayette--Richmond--Frankfort, KY
Region: South
County: Fayette
Address: 400 E Vine St
Time zone: CT (UTC-6)
Office locations

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