BALLAST, INC.

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

Ballast is based out of Lexington. Ballast is a large advisory firm with 310 clients and discretionary assets under management (AUM) of $220,076,978 (Form ADV from 2019-09-26). Their last reported 13F filing for Q4 2019 included $181,097,000 in managed 13F securities and a top 10 holdings concentration of 46.57%. Ballast's largest holding is Vanguard Mid-Cap ETF with shares held of 65,217. Whalewisdom has at least 9 13F filings

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12/31/2019

13F Sector Allocation Over Time

12/31/2019

13F Activity

  • Market Value $181.097 Million
  • Prior Market Value $162.841 Million
  • New Purchases7 stocks
  • Additional Purchases56 stocks
  • Sold out of6 stocks
  • Reduced holdings in31 stocks
  • Top 10 Holdings % 46.57 %
  • Turnover % [1]:12.75%
  • Turnover Alt % [2]: 11.75 %
  • Time Held Top20:6.05 quarters
  • Time Held Top10:6.80 quarters
  • Time Held All:6.42 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.

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2019-11-14

Performance for Q3 2019: 6.99%
Performance Last 4 Quarters: 12.98%
Performance Metrics
Stats are not available for the latest quarter

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13F Filings Available:
  • 2019-12-31 - 13F-HR (Subscription required)
  • 2019-09-30 - 13F-HR (Subscription required)
  • 2019-06-30 - 13F-HR (Subscription required)
  • 2019-03-31 - 13F-HR (Subscription required)
  • 2018-12-31 - 13F-HR (Subscription required)
  • 2018-09-30 - 13F-HR (Subscription required)
  • 2018-06-30 - 13F-HR (Subscription required)
  • 2018-03-31 - 13F-HR (Subscription required)
  • 2017-12-31 - 13F-HR (Subscription required)

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: 310
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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Form 4 - Recent Insider Transactions

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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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