# Ballast Capital Advisors, LLC

> Ballast Capital Advisors, LLC is an SEC-registered investment advisory firm in West des Moines, IA, registered since 2021, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated March 2, 2026.

- CRD: 282369
- Filed as: BALLAST CAPITAL ADVISORS, LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: West des Moines, IA
- Filing period: October 2026
- Form ADV filing dated: March 2, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/282369
- AdvisorCensus page: https://advisorcensus.com/firm/ballast-capital-advisors-llc-west-des-moines-ia-282369

## Quick answers

**How is Ballast Capital Advisors, LLC compensated?**
On its Form ADV (Item 5.E, October 2026), Ballast Capital Advisors, LLC reports these compensation arrangements: a percentage of assets under its management; fixed fees (other than subscription fees). The amounts are in Item 5 of its Form ADV Part 2A brochure.

**Where is Ballast Capital Advisors, LLC located?**
Ballast Capital Advisors, LLC's principal office is in West des Moines, IA, according to its Form ADV.

**Is Ballast Capital Advisors, LLC registered with the SEC or a state?**
Ballast Capital Advisors, LLC is an SEC-registered investment advisory firm, registered since 2021. Status as filed: Approved. CRD 282369.

**How much does Ballast Capital Advisors, LLC manage?**
Ballast Capital Advisors, LLC reports $328,737,630 in regulatory assets under management in its Form ADV filing dated March 2, 2026 (100% discretionary).

**How have Ballast Capital Advisors, LLC's assets and staff changed since 2021?**
In the Form ADV data for Ballast Capital Advisors, LLC: Regulatory assets under management: $220,366,374 in the October 2021 data and $328,737,630 in the October 2026 data, up 49%. Total employees: 5 in October 2021 and 7 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Ballast Capital Advisors, LLC serve?**
By number of clients on Form ADV Item 5.D: high net worth individuals (42).

**Which custodians does Ballast Capital Advisors, LLC use?**
Ballast Capital Advisors, LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists RBC Capital Markets, LLC as a custodian holding 10% or more of its separately managed account assets.

**Does Ballast Capital Advisors, LLC report any disciplinary disclosures?**
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/282369

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Fixed fees (other than subscription fees)

### Custodians (Schedule D, Section 5.K(3))
- RBC Capital Markets, LLC

Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.

### Regulatory assets under management (Item 5.F)
- Total: $328,737,630
- Discretionary: $328,737,630
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| High net worth individuals | 42 | $328,737,630 |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses

### Firm details
- Registered since: 2021 (5 years)
- Employees: 7 total, 3 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: IA, TX
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- ballast-advisors.com
- Facebook @BALLASTCAPITALADVISORS
- LinkedIn @ballast-capital-advisors-llc
- X @BALLAST_CAPITAL

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $220,366,374 | 5 | March 17, 2021 |
| October 2022 | $261,402,490 | 5 | May 26, 2022 |
| October 2023 | $273,916,175 | 7 | March 23, 2023 |
| October 2024 | $297,272,625 | 8 | January 18, 2024 |
| October 2025 | $318,443,752 | 7 | March 7, 2025 |
| October 2026 | $328,737,630 | 7 | March 2, 2026 |

Regulatory assets under management: $220,366,374 in the October 2021 data and $328,737,630 in the October 2026 data, up 49%.
Total employees: 5 in October 2021 and 7 in October 2026.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Ballast Capital Advisors, LLC (CRD 282369): Form ADV filing data as of October 2026.