BALLAST, INC.

HTTP://WWW.BALLASTPLAN.COM LEXINGTON, KY Investment Advisor How do I update this listing?

Ballast is based out of Lexington. Ballast is a large advisory firm with 319 clients and discretionary assets under management (AUM) of $278,686,575 (Form ADV from 2020-06-29). Their last reported 13F filing for Q1 2020 included $140,746,000 in managed 13F securities and a top 10 holdings concentration of 48.86%. Ballast's largest holding is Vanguard Mid-Cap ETF with shares held of 70,040. Whalewisdom has at least 10 13F filings

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03/31/2020

13F Activity

  • Market Value $140.746 Million
  • Prior Market Value $181.097 Million
  • New Purchases0 stocks
  • Additional Purchases55 stocks
  • Sold out of16 stocks
  • Reduced holdings in20 stocks
  • Top 10 Holdings % 48.86 %
  • Turnover % [1]:18.60%
  • Turnover Alt % [2]: 11.54 %
  • Time Held Top20:6.80 quarters
  • Time Held Top10:7.20 quarters
  • Time Held All:7.67 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.

03/31/2020

13F Sector Allocation Over Time

Portfolio Performance

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

Performance for Q1 2020: 22.14%
Performance Last 4 Quarters: 0.32%
Performance Metrics
Stats are not available for the latest quarter

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*Shares are split adjusted

View Last Form Adv Compilation Report on Record

BALLAST, INC.
360 E. VINE STREET SUITE 320
LEXINGTON KY    40507
Country: United States

Business Phone: 859-226-0625
Fax: 859-226-0623
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Corporation
Organized in: KY
Number of employees: 8
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management,Hourly charges,Fixed fees,PERCENTAGE OF CLIENT'S NET WORTH
Amount of client funds and securities:
Total Number of Clients: 319
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

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BALLAST, INC.

ownership team - last updated 2020-06-29
Name Title Start Date Direct/Indirect % Ownership
BOARDMAN, JOHN, VALENTINE PRESIDENT 01/01/2008 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
BOARDMAN WEALTH PLANNING, INC. PRESIDENT/CHIEF COMPLIANCE OFFICER direct 2008-01-01
BALLAST, INC. PRESIDENT direct 2008-01-01
REYNOLDS, ANDREW, JOSEPH VICE PRESIDENT 03/01/2010 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
BOARDMAN WEALTH PLANNING, INC. VICE PRESIDENT direct 2010-03-01
Carroll, Billy, Joe CHIEF COMPLIANCE OFFICER 08/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
BALLAST, INC. CHIEF COMPLIANCE OFFICER direct 2017-08-01
HAMILTON, CAMERON, K SECRETARY, DIRECTOR OF FINANCIAL PLANNING 01/01/2018 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
BALLAST, INC. SECRETARY, DIRECTOR OF FINANCIAL PLANNING direct 2018-01-01
BURTON, BRIAN, TODD TREASURER, DIRECTOR OF PORTFOLIO STRATEGY 01/01/2018 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
BALLAST, INC. TREASURER, DIRECTOR OF PORTFOLIO STRATEGY direct 2018-01-01

BALLAST, INC.

ownership team - last updated 2020-03-25
Name Title Start Date Direct/Indirect % Ownership

BALLAST, INC.

ownership team - last updated 2019-12-20
Name Title Start Date Direct/Indirect % Ownership
BOARDMAN, JOHN, VALENTINE PRESIDENT 01/01/2008 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
BOARDMAN WEALTH PLANNING, INC. PRESIDENT/CHIEF COMPLIANCE OFFICER direct 2008-01-01
BALLAST, INC. PRESIDENT direct 2008-01-01
REYNOLDS, ANDREW, JOSEPH VICE PRESIDENT 03/01/2010 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
BOARDMAN WEALTH PLANNING, INC. VICE PRESIDENT direct 2010-03-01
Carroll, Billy, Joe CHIEF COMPLIANCE OFFICER 08/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
BALLAST, INC. CHIEF COMPLIANCE OFFICER direct 2017-08-01
HAMILTON, CAMERON, K SECRETARY, DIRECTOR OF FINANCIAL PLANNING 01/01/2018 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
BALLAST, INC. SECRETARY, DIRECTOR OF FINANCIAL PLANNING direct 2018-01-01
BURTON, BRIAN, TODD TREASURER, DIRECTOR OF PORTFOLIO STRATEGY 01/01/2018 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
BALLAST, INC. TREASURER, DIRECTOR OF PORTFOLIO STRATEGY direct 2018-01-01

BALLAST, INC.

ownership team - last updated 2019-09-26
Name Title Start Date Direct/Indirect % Ownership
BOARDMAN, JOHN, VALENTINE PRESIDENT 01/01/2008 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
BOARDMAN WEALTH PLANNING, INC. PRESIDENT/CHIEF COMPLIANCE OFFICER direct 2008-01-01
BALLAST, INC. PRESIDENT direct 2008-01-01
REYNOLDS, ANDREW, JOSEPH VICE PRESIDENT 03/01/2010 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
BOARDMAN WEALTH PLANNING, INC. VICE PRESIDENT direct 2010-03-01
Carroll, Billy, Joe CHIEF COMPLIANCE OFFICER 08/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
BALLAST, INC. CHIEF COMPLIANCE OFFICER direct 2017-08-01
HAMILTON, CAMERON, K SECRETARY, DIRECTOR OF FINANCIAL PLANNING 01/01/2018 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
BALLAST, INC. SECRETARY, DIRECTOR OF FINANCIAL PLANNING direct 2018-01-01
BURTON, BRIAN, TODD TREASURER, DIRECTOR OF PORTFOLIO STRATEGY 01/01/2018 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
BALLAST, INC. TREASURER, DIRECTOR OF PORTFOLIO STRATEGY direct 2018-01-01

BALLAST, INC.

ownership team - last updated 2019-03-27
Name Title Start Date Direct/Indirect % Ownership
BOARDMAN, JOHN, VALENTINE PRESIDENT 01/01/2008 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
BOARDMAN WEALTH PLANNING, INC. PRESIDENT/CHIEF COMPLIANCE OFFICER direct 2008-01-01
BALLAST, INC. PRESIDENT direct 2008-01-01
REYNOLDS, ANDREW, JOSEPH VICE PRESIDENT 03/01/2010 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
BOARDMAN WEALTH PLANNING, INC. VICE PRESIDENT direct 2010-03-01
Carroll, Billy, Joe CHIEF COMPLIANCE OFFICER 08/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
BALLAST, INC. CHIEF COMPLIANCE OFFICER direct 2017-08-01
HAMILTON, CAMERON, K SECRETARY, DIRECTOR OF FINANCIAL PLANNING 01/01/2018 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
BALLAST, INC. SECRETARY, DIRECTOR OF FINANCIAL PLANNING direct 2018-01-01
BURTON, BRIAN, TODD TREASURER, DIRECTOR OF PORTFOLIO STRATEGY 01/01/2018 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
BALLAST, INC. TREASURER, DIRECTOR OF PORTFOLIO STRATEGY direct 2018-01-01

BALLAST, INC.

ownership team - last updated 2018-04-02
Name Title Start Date Direct/Indirect % Ownership
BOARDMAN, JOHN, VALENTINE PRESIDENT 01/01/2008 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
BOARDMAN WEALTH PLANNING, INC. PRESIDENT/CHIEF COMPLIANCE OFFICER direct 2008-01-01
BALLAST, INC. PRESIDENT direct 2008-01-01
REYNOLDS, ANDREW, JOSEPH VICE PRESIDENT 03/01/2010 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
BOARDMAN WEALTH PLANNING, INC. VICE PRESIDENT direct 2010-03-01
Carroll, Billy, Joe CHIEF COMPLIANCE OFFICER 08/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
BALLAST, INC. CHIEF COMPLIANCE OFFICER direct 2017-08-01
HAMILTON, CAMERON, K SECRETARY, DIRECTOR OF FINANCIAL PLANNING 01/01/2018 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
BALLAST, INC. SECRETARY, DIRECTOR OF FINANCIAL PLANNING direct 2018-01-01
BURTON, BRIAN, TODD TREASURER, DIRECTOR OF PORTFOLIO STRATEGY 01/01/2018 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
BALLAST, INC. TREASURER, DIRECTOR OF PORTFOLIO STRATEGY direct 2018-01-01

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