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BALLAST ROCK PRIVATE WEALTH

CHARLESTON, SC · CRD 322064 · IAPD ↗ · ballastrockpw.com · (800) 204-2513

$405.7MRegulatory AUM
8Advisory reps
9Employees
0Clients
26-50Planning clients
0Private funds
8States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

61
April 2026 — BALLAST ROCK PRIVATE WEALTH reports 26-50 financial-planning clients, up from 11-25.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
68
April 2026 — BALLAST ROCK PRIVATE WEALTH now reports custody of client assets ($100.7M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
70
April 2026 — BALLAST ROCK PRIVATE WEALTH grew from 6 to 8 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
72
April 2026 — BALLAST ROCK PRIVATE WEALTH reported RAUM up 70% ($238.2M -> $405.7M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
62
April 2025 — BALLAST ROCK PRIVATE WEALTH reported RAUM up 40% ($170.6M -> $238.2M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
44
December 2024 — BALLAST ROCK PRIVATE WEALTH notice-filed in CT, LA.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
95
April 2024 — BALLAST ROCK PRIVATE WEALTH (CHARLESTON, SC) is newly SEC-registered with $170.6M RAUM and 6 advisory reps.
Firm appears on the SEC roster for the first time (new RIA or state-to-SEC transition).
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

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