BALLAST ADVISORS LLC

HTTP://WWW.BALLASTADVISORS.COM WOODBURY, MN Investment Advisor How do I update this listing?

Ballast Advisors is based out of Woodbury. Ballast Advisors is a large advisory firm with 777 clients and discretionary assets under management (AUM) of $382,733,234 (Form ADV from 2020-06-29). Their last reported 13F filing for Q2 2020 included $140,510,000 in managed 13F securities and a top 10 holdings concentration of 59.53%. Ballast Advisors's largest holding is Schwab U.S. Large-Cap Value ETF with shares held of 328,611. Whalewisdom has at least 4 13F filings

Download 13F Summary to Excel Create Email Alert

06/30/2020

13F Activity

  • Market Value $140.51 Million
  • Prior Market Value $106.299 Million
  • New Purchases13 stocks
  • Additional Purchases43 stocks
  • Sold out of8 stocks
  • Reduced holdings in48 stocks
  • Top 10 Holdings % 59.53 %
  • Turnover % [1]:13.13%
  • Turnover Alt % [2]: 14.33 %
  • Time Held Top20:1.65 quarters
  • Time Held Top10:1.60 quarters
  • Time Held All:1.90 quarters

[1]: Turnover is calculated by taking the # of new holdings (initial purchases) + the # of positions sold out of (not just reduced) divided by the total # of holdings for the quarter.

[2]: Alt Turnover is calculated by taking either the total MV of new purchases or the MV of securities sold, whichever is less, divided by the total MV of the fund.

06/30/2020

13F Sector Allocation Over Time

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2020-05-15

Performance for Q1 2020: 26.61%
Performance Last 4 Quarters: 0.0%
Performance Metrics
Stats are not available for the latest quarter

Refresh Advanced Export Download CSV Download Excel (.xlsx) Download TSV
Filter by:

Security Types:

Refresh
*Shares are split adjusted

View Last Form Adv Compilation Report on Record

BALLAST ADVISORS, LLC
683 BIELENBERG DRIVE SUITE 208
WOODBURY MN    55125
Country: United States

Business Phone: (651) 478-4644
Fax: (651) 200-3119
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Limited Liability Company
Organized in: DE
Number of employees: 13
Other Business Activities: insurance broker or agent
Advisor Fees/Compensation: Percentage of assets under management,Hourly charges,Fixed fees,Commissions
Amount of client funds and securities:
Total Number of Clients: 777
Amount of client funds and securities by related persons:
Total Number of clients from related persons:
Disclosures:
Data above was derived from SEC filings.

Active Schedule 13D and 13G events

Sign in to see

Form 4 - Recent Insider Transactions

Loading...

BALLAST ADVISORS, LLC

ownership team - last updated 2020-06-29
Name Title Start Date Direct/Indirect % Ownership
SCHMIDT, STEVEN, ANDREW PRINCIPAL AND WEALTH ADVISOR 02/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
BALLAST ADVISORS, LLC MANAGING MEMBER direct 2017-02-01
PARNELL, PAUL, LOUIS PRINCIPAL AND WEALTH ADVISOR 02/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
BALLAST ADVISORS, LLC MANAGING MEMBER direct 2017-02-01
GERCZAK, RICHARD, GERARD PRINCIPAL, WEALTH ADVISOR, & CHIEF COMPLIANCE OFFICER 02/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
BALLAST ADVISORS, LLC MANAGING MEMBER AND CHIEF COMPLIANCE OFFICER direct 2017-02-01
S SCHMIDT & ASSOCIATES LLC MANAGING MEMBER 01/01/2018 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
BALLAST ADVISORS, LLC MANAGING MEMBER direct 2018-01-01
GERCZAK & ASSOCIATES LLC MANAGING MEMBER 01/01/2018 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
BALLAST ADVISORS, LLC MANAGING MEMBER direct 2018-01-01
PARNELL & ASSOCIATES, INC. MANAGING MEMBER 02/01/2017 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
BALLAST ADVISORS, LLC MANAGING MEMBER direct 2017-02-01
SCHMIDT, STEVEN, ANDREW PRINCIPAL AND WEALTH ADVISOR S SCHMIDT & ASSOCIATES LLC 01/01/2018 Indirect 75% or more
Fund Name Position direct/indirect start date end date
BALLAST ADVISORS, LLC MANAGING MEMBER direct 2017-02-01
PARNELL, PAUL, LOUIS PRINCIPAL AND WEALTH ADVISOR PARNELL & ASSOCIATES, INC. 02/01/2017 Indirect 75% or more
Fund Name Position direct/indirect start date end date
BALLAST ADVISORS, LLC MANAGING MEMBER direct 2017-02-01
GERCZAK, RICHARD, GERARD PRINCIPAL AND CHIEF COMPLIANCE OFFICER GERCZAK & ASSOCIATES LLC 01/01/2018 Indirect 75% or more
Fund Name Position direct/indirect start date end date
BALLAST ADVISORS, LLC MANAGING MEMBER AND CHIEF COMPLIANCE OFFICER direct 2017-02-01

BALLAST ADVISORS, LLC

ownership team - last updated 2020-03-30
Name Title Start Date Direct/Indirect % Ownership

BALLAST ADVISORS, LLC

ownership team - last updated 2019-10-23
Name Title Start Date Direct/Indirect % Ownership
SCHMIDT, STEVEN, ANDREW PRINCIPAL AND WEALTH ADVISOR 02/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
BALLAST ADVISORS, LLC MANAGING MEMBER direct 2017-02-01
PARNELL, PAUL, LOUIS PRINCIPAL AND WEALTH ADVISOR 02/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
BALLAST ADVISORS, LLC MANAGING MEMBER direct 2017-02-01
GERCZAK, RICHARD, GERARD PRINCIPAL AND CHIEF COMPLIANCE OFFICER 02/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
BALLAST ADVISORS, LLC MANAGING MEMBER AND CHIEF COMPLIANCE OFFICER direct 2017-02-01
S SCHMIDT & ASSOCIATES LLC MANAGING MEMBER 01/01/2018 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
BALLAST ADVISORS, LLC MANAGING MEMBER direct 2018-01-01
GERCZAK & ASSOCIATES LLC MANAGING MEMBER 01/01/2018 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
BALLAST ADVISORS, LLC MANAGING MEMBER direct 2018-01-01
PARNELL & ASSOCIATES, INC. MANAGING MEMBER 02/01/2017 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
BALLAST ADVISORS, LLC MANAGING MEMBER direct 2017-02-01
SCHMIDT, STEVEN, ANDREW PRINCIPAL AND WEALTH ADVISOR S SCHMIDT & ASSOCIATES LLC 01/01/2018 Indirect 75% or more
Fund Name Position direct/indirect start date end date
BALLAST ADVISORS, LLC MANAGING MEMBER direct 2017-02-01
PARNELL, PAUL, LOUIS PRINCIPAL AND WEALTH ADVISOR PARNELL & ASSOCIATES, INC. 02/01/2017 Indirect 75% or more
Fund Name Position direct/indirect start date end date
BALLAST ADVISORS, LLC MANAGING MEMBER direct 2017-02-01
GERCZAK, RICHARD, GERARD PRINCIPAL AND CHIEF COMPLIANCE OFFICER GERCZAK & ASSOCIATES LLC 01/01/2018 Indirect 75% or more
Fund Name Position direct/indirect start date end date
BALLAST ADVISORS, LLC MANAGING MEMBER AND CHIEF COMPLIANCE OFFICER direct 2017-02-01

BALLAST ADVISORS, LLC

ownership team - last updated 2019-03-12
Name Title Start Date Direct/Indirect % Ownership
SCHMIDT, STEVEN, ANDREW MANAGING MEMBER 02/01/2017 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
BALLAST ADVISORS, LLC MANAGING MEMBER direct 2017-02-01
PARNELL, PAUL, LOUIS MANAGING MEMBER 02/01/2017 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
BALLAST ADVISORS, LLC MANAGING MEMBER direct 2017-02-01
GERCZAK, RICHARD, GERARD MANAGING MEMBER AND CHIEF COMPLIANCE OFFICER 02/01/2017 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
BALLAST ADVISORS, LLC MANAGING MEMBER AND CHIEF COMPLIANCE OFFICER direct 2017-02-01

BALLAST ADVISORS, LLC

ownership team - last updated 2017-06-08
Name Title Start Date Direct/Indirect % Ownership
SCHMIDT, STEVEN, ANDREW MANAGING MEMBER 02/01/2017 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
BALLAST ADVISORS, LLC MANAGING MEMBER direct 2017-02-01
PARNELL, PAUL, LOUIS MANAGING MEMBER 02/01/2017 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
BALLAST ADVISORS, LLC MANAGING MEMBER direct 2017-02-01
GERCZAK, RICHARD, GERARD MANAGING MEMBER AND CHIEF COMPLIANCE OFFICER 02/01/2017 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
BALLAST ADVISORS, LLC MANAGING MEMBER AND CHIEF COMPLIANCE OFFICER direct 2017-02-01

Elevate your investments