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BALLAST, INC.
CRD 152695File 801-79651
APPROVED
Retail clients
Filing as of Jul 14, 2026
Feed vintage Oct 1, 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 | Change |
|---|---|---|---|---|
| Aug 17, 2026 | Clients | 476 | 475 | decreased by1 |
| Mar 1, 2026 | Clients | 452 | 476 | increased by24 |
| Mar 1, 2026 | AUM | $625,203,027 | $751,516,845 | increased by$126,313,818 |
| Mar 1, 2026 | Accounts | 1,798 | 1,888 | increased by90 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 6 | 12 | increased by6 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 378 | 452 | increased by74 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $462,991,449 | $625,203,027 | increased by$162,211,578 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 1,445 | 1,798 | increased by353 |
| Apr 1, 2022 | Employees | 9 | 6 | decreased by3 |
| Apr 1, 2022 | Clients | 356 | 378 | increased by22 |
| Apr 1, 2022 | AUM | $358,398,083 | $462,991,449 | increased by$104,593,366 |
| Apr 1, 2022 | Accounts | 1,410 | 1,445 | increased by35 |
| Apr 1, 2021 | Registration | — | APPROVED |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “BALLAST” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“BALLAST” may also match similarly-named firms). Confirm identity against each filing.
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.