Ballast Rock Capital LLC

Broker-DealerFINRA MemberEst. 2023
Total AUM
Advisory reps
9
Avg account
$0

Firm details

Headquarters
Charleston, South Carolina
CRD number
322170
Registered since
April 14, 2023

Firm profile

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Overview

Ballast Rock Capital LLC is organized as a limited liability company and is registered with the SEC as of 2023. Its primary classification in regulatory filings is "Placement Agent," indicating the firm focuses on introducing or placing investment opportunities rather than acting as an allocator of client capital. The ownership is listed as a combination of a domestic entity and an individual. The firm is not identified as a capital allocator, pension consultant, related adviser, or an active ESG investor. It is also not listed as a multi-state adviser or a newly formed adviser in the provided data. Details such as fee structure, specific business or advisory activities, and client segmentation were not provided in the source material.

Assets & Accounts

Investments & Alternatives

Location & Offices

Investment profile

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Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

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CRM & tech providers

TAMPs used

Clients

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Client base

Client personas

Owners & executives

3 of 5
  • Thomas Carroll-connell

    Thomas Carroll-connell

    Founder & CEOCRD 4992661

  • Carrie Schneidman

    Carrie Schneidman

    Co-Chief Compliance OfficerCRD 3137950

  • Simon O'shea

    Simon O'shea

    Chief Investment OfficerCRD 4433957

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Contacts

3 of 4
  • Dennis Azary

    Dennis Azary

    CCOCRD 2384263

  • Michael Welch

    Registered RepresentativeCRD 2769066

  • Maxwell Jackson

    Maxwell Jackson

    Managing DirectorCRD 6979850

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Wealth teams

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Newly hired reps

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Recent M&A activity

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Recent filings

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Awards

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Location

Primary office

Charleston, SC

Charleston

Location

Charleston, SC

Headquartered in Charleston, SC, in the South of the United States.

Region
South
County
Charleston
Address
460 King St
Time zone
ET (UTC-5)
Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth