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BALLAST FINANCIAL ADVISORS, LLC
CRD 304430File 801-117158
APPROVED
Retail clients
Custody
Disclosure events
Filing as of Mar 17, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$342.6M
Below cohort median (national)
Discretionary AUM
$129.1M
Non-discretionary $213.5M
Clients
607
1,573 accounts
Employees
5
Below cohort median in PA
Identity & registration
ADV Item 1- Organization form
- Limited Liability Company
- Firm type
- Registered
- SEC region
- PLRO
- Registration date
- Aug 13, 2019
- Principal office
- 535 N. CHURCH ST., SUITE 205, WEST CHESTER, PA, 19380
- Phone
- 484-266-7281
- Website
- HTTPS://WWW.BALLASTFA.COM
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $342.6M
- Discretionary AUM
- $129.1M
- Non-discretionary AUM
- $213.5M
- Discretionary accounts
- 782
- Non-discretionary accounts
- 791
- Total accounts
- 1,573
- AUM per client
- $564K
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | 5 | $131K |
| High net worth individuals | 120 | $207.6M |
| Pension and profit sharing plans | Fewer than 5 | $17.9M |
| Individuals (other than high net worth individuals) | 482 | $117.0M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Fixed fees
- Hourly charges
- A percentage of assets under your management
Advisory activities
- Financial planning services
- Selection of other advisers
- Portfolio management for other
- Portfolio management for businesses
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- Yes
- 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 11- Q11C2
- Q11C3
- Q11C4
- Q11D2
- Q11D5
- Q11E2
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Apr 1, 2026 | Employees | 6 | 5 | decreased by1 |
| Apr 1, 2026 | Clients | 564 | 607 | increased by43 |
| Apr 1, 2026 | AUM | $276,381,883 | $342,648,784 | increased by$66,266,901 |
| Apr 1, 2026 | Accounts | 1,378 | 1,573 | increased by195 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 5 | 6 | increased by1 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 478 | 564 | increased by86 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $233,890,130 | $276,381,883 | increased by$42,491,753 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 1,093 | 1,378 | increased by285 |
| Apr 1, 2022 | Employees | 6 | 5 | decreased by1 |
| Apr 1, 2022 | Clients | 265 | 478 | increased by213 |
| Apr 1, 2022 | AUM | $121,091,702 | $233,890,130 | increased by$112,798,428 |
| Apr 1, 2022 | Accounts | 519 | 1,093 | increased by574 |
| 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 FINANCIAL” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“BALLAST FINANCIAL” 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.