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BALLAST, INC.
CRD 152695File 801-79651
APPROVED
Retail clients
Filing as of Jul 14, 2026
Feed vintage Aug 17, 2026
Regulatory AUM
$751.5M
Above cohort median (national)
Discretionary AUM
$699.8M
Non-discretionary $51.7M
Clients
475
1,888 accounts
Employees
12
Above cohort median in KY
Identity & registration
ADV Item 1- Organization form
- Corporation
- Firm type
- Registered
- SEC region
- CHRO
- Registration date
- Apr 25, 2014
- Principal office
- 400 EAST VINE ST, SUITE 400, LEXINGTON, KY, 40507
- Phone
- 859-226-0625
- Website
- HTTP://WWW.BALLASTPLAN.COM
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $751.5M
- Discretionary AUM
- $699.8M
- Non-discretionary AUM
- $51.7M
- Discretionary accounts
- 1,675
- Non-discretionary accounts
- 213
- Total accounts
- 1,888
- AUM per client
- $1.6M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Charitable organizations | Fewer than 5 | $2.4M |
| High net worth individuals | 217 | $627.0M |
| Pension and profit sharing plans | 17 | $29.1M |
| State or municipal government entities | Fewer than 5 | $3.9M |
| Individuals (other than high net worth individuals) | 237 | $88.3M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Other
- Fixed fees
- Hourly charges
- Other (described) — PERCENTAGE OF CLIENT'S NET WORTH
- A percentage of assets under your management
Advisory activities
- Financial planning services
- Selection of other advisers
- Portfolio management for other
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- No
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- No
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11This firm answered no to every Item 11 disclosure question in this filing.
Filed changes
| Date | Field | From | To |
|---|---|---|---|
| Aug 17, 2026 | Clients | 476 | 475 |
| Aug 12, 2026 | Registration | — | APPROVED |
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.