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BALLAST ADVISORS, LLC

WOODBURY, MN · CRD 285991 · IAPD ↗ · (651) 478-4644

$674.5MRegulatory AUM
6Advisory reps
15Employees
3Clients
251-500Planning clients
0Private funds
19States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

47
April 2026 — BALLAST ADVISORS, LLC notice-filed in CO, OR.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
70
April 2026 — BALLAST ADVISORS, LLC grew from 4 to 6 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
47
March 2024 — BALLAST ADVISORS, LLC notice-filed in OR, TN.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
68
March 2024 — BALLAST ADVISORS, LLC now reports custody of client assets ($239.6M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
70
March 2024 — BALLAST ADVISORS, LLC crossed $500M in regulatory AUM ($473.5M -> $512.5M).
Regulatory AUM crossed $500M.
Portfolio / reporting / TAMPCRMIntegration & migration consulting

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