# Ballaster Financial

> Ballaster Financial is a state-registered investment advisory firm, registered since 2021, reporting under $25 million in regulatory assets under management in its Form ADV filing dated September 18, 2026.

- CRD: 316668
- Filed as: BALLASTER FINANCIAL
- Legal name: Ballaster Financial LLC
- Registration: State-registered investment adviser (status as filed: APPROVED)
- Filing period: October 2026
- Form ADV filing dated: September 18, 2026
- Public record (IAPD): https://adviserinfo.sec.gov/firm/summary/316668
- AdvisorCensus page: https://advisorcensus.com/firm/ballaster-financial-316668

## Quick answers

**How is Ballaster Financial compensated?**
On its Form ADV (Item 5.E, October 2026), Ballaster Financial 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.

**Is Ballaster Financial registered with the SEC or a state?**
Ballaster Financial is a state-registered investment advisory firm, registered since 2021. Status as filed: APPROVED. CRD 316668.

**How much does Ballaster Financial manage?**
Ballaster Financial reports $21,831,814 in regulatory assets under management in its Form ADV filing dated September 18, 2026 (100% discretionary).

**What types of clients does Ballaster Financial serve?**
By number of clients on Form ADV Item 5.D: high net worth individuals (17); individuals (other than high net worth individuals) (10).

**Does Ballaster Financial report any disciplinary disclosures?**
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/316668

## From the Form ADV filing

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

### Regulatory assets under management (Item 5.F)
- Total: $21,831,814
- Discretionary: $21,831,814
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 10 | $5,660,039 |
| High net worth individuals | 17 | $16,171,775 |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops

### Firm details
- Registered since: 2021 (4 years)
- Employees: 1 total, 1 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: CA, NJ, NY
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- ballasterfinancial.com
- yelp.com/biz/ballaster-financial-jersey-city
- Facebook @BallasterFinancial
- Instagram @ballaster.financial
- LinkedIn @ballaster-financial-llc
- X @ballasterfin

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Ballaster Financial (CRD 316668): Form ADV filing data as of October 2026.