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BALLAST, INC.

LEXINGTON, KY · CRD 152695 · IAPD ↗ · ballastplan.com · 859-226-0625

$751.5MRegulatory AUM
8Advisory reps
12Employees
1Clients
1-10Planning clients
0Private funds
10States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

45
August 2026 — BALLAST, INC. notice-filed in VA.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
70
March 2026 — BALLAST, INC. grew from 6 to 8 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
45
December 2025 — BALLAST, INC. notice-filed in CO.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
68
March 2024 — BALLAST, INC. now reports custody of client assets ($6.5M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
70
March 2024 — BALLAST, INC. crossed $500M in regulatory AUM ($423.4M -> $543.9M).
Regulatory AUM crossed $500M.
Portfolio / reporting / TAMPCRMIntegration & migration consulting

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.