{
  "crd_number": 289598,
  "slug": "ballina-capital-llc-289598",
  "primary_business_name": "BALLINA CAPITAL, LLC",
  "legal_name": "BALLINA CAPITAL, LLC",
  "dbas": [],
  "city": null,
  "state": null,
  "country": null,
  "cbsa_code": null,
  "metro": null,
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "2024-05-29",
  "years_registered": 2,
  "period": "2026-10-01",
  "filing_date": "2026-06-08",
  "carried_forward": false,
  "raum_total": 486256666.0,
  "raum_discretionary": 486256666.0,
  "raum_non_discretionary": 0.0,
  "raum_band": "100m_500m",
  "raum_band_label": "$100 million to $500 million",
  "total_employees": 6,
  "advisory_employees": 2,
  "client_count_bucket": "fewer_than_5_in_some_types",
  "clients_by_type": {
    "other": {
      "raum": 9942798.0,
      "count": null,
      "description": "ENDOWMENT",
      "fewer_than_5": true
    },
    "individuals": {
      "raum": 11347681.0,
      "count": 6
    },
    "state_municipal": {
      "raum": 464547865.0,
      "count": 5
    },
    "other_investment_advisers": {
      "raum": 418322.0,
      "count": null,
      "fewer_than_5": true
    }
  },
  "compensation_types": [
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "portfolio_management_businesses_institutional",
    "portfolio_management_individuals"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 0,
  "states_registered": [
    "CA"
  ],
  "websites": [
    "https://ballinacapital.us",
    "https://linkedin.com/company/ballina-capital-llc"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/289598",
  "city_as_filed": null,
  "url": "https://advisorcensus.com/firm/ballina-capital-llc-289598",
  "display_name": "Ballina Capital, LLC",
  "summary": "Ballina Capital, LLC is an SEC-registered investment advisory firm, registered since 2024, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated June 8, 2026.",
  "citation": "AdvisorCensus. Ballina Capital, LLC (CRD 289598): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management"
  ],
  "advisory_activity_labels": [
    "Portfolio management for individuals and/or small businesses",
    "Portfolio management for businesses (other than small businesses) or institutional clients"
  ],
  "quick_answers": [
    {
      "q": "How is Ballina Capital, LLC compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Ballina Capital, LLC reports these compensation arrangements: a percentage of assets under its management."
    },
    {
      "q": "How much does Ballina Capital, LLC charge?",
      "a": "Its Form ADV Part 2A brochure dated March 6, 2026 states: Asset-based fee: 1% of assets a year. Fees can differ by service and may be negotiable; the brochure is the complete statement."
    },
    {
      "q": "Is Ballina Capital, LLC registered with the SEC or a state?",
      "a": "Ballina Capital, LLC is an SEC-registered investment advisory firm, registered since 2024. Status as filed: Approved. CRD 289598."
    },
    {
      "q": "How much does Ballina Capital, LLC manage?",
      "a": "Ballina Capital, LLC reports $486,256,666 in regulatory assets under management in its Form ADV filing dated June 8, 2026 (100% discretionary)."
    },
    {
      "q": "How have Ballina Capital, LLC's assets and staff changed since 2024?",
      "a": "In the Form ADV data for Ballina Capital, LLC: Regulatory assets under management: $111,876,816 in the October 2024 data and $486,256,666 in the October 2026 data, up 335%. Total employees: 3 in October 2024 and 6 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does Ballina Capital, LLC serve?",
      "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (6); state or municipal government entities (including government pension plans) (5)."
    },
    {
      "q": "Which custodians does Ballina Capital, LLC use?",
      "a": "Ballina Capital, LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Interactive Brokers LLC, J.P. Morgan Chase Bank, N.A., Northern Trust Securities, Inc., State Street Bank and Trust Company and The Bank of New York Mellon Corporation as custodians holding 10% or more of its separately managed account assets."
    },
    {
      "q": "Does Ballina Capital, LLC report any disciplinary disclosures?",
      "a": "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/289598"
    },
    {
      "q": "Does Ballina Capital, LLC state an account minimum?",
      "a": "Its Form ADV Part 2A brochure dated March 6, 2026 says: \"The minimum amount of assets under management for a Client account is $ 300,000. Ballina may, in its sole discretion, waive the minimum investment requirement for any Client.\""
    },
    {
      "q": "What changed in Ballina Capital, LLC's recent Form ADV filings?",
      "a": "In the April 2026 filing data: Regulatory assets under management went from $329,428,513 to $486,256,666 (+48%)."
    }
  ],
  "filing_history": [
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 111876816.0,
      "total_employees": 3,
      "filing_date": "2024-06-26"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 329428513.0,
      "total_employees": 5,
      "filing_date": "2025-02-25"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 486256666.0,
      "total_employees": 6,
      "filing_date": "2026-06-08"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-04-01",
      "period_label": "April 2026",
      "notes": [
        "Regulatory assets under management went from $329,428,513 to $486,256,666 (+48%)."
      ]
    }
  ],
  "fees_from_brochure": {
    "source": "Form ADV Part 2A brochure dated March 6, 2026",
    "provided_by_the_firm": false,
    "tiers": [],
    "flat_rate": "1% of assets a year",
    "stated_range": null,
    "stated_maximum": null,
    "account_minimum": "$300,000",
    "account_minimum_may_be_waived": true,
    "minimum_annual_fee": null,
    "planning_fees": [],
    "figures": [
      {
        "label": "Asset-based fee",
        "statements": [
          "Asset-based fee: 1% of assets a year"
        ],
        "quotes": [
          "Ballina typically receives a quarterly asset-based management fee calculated as a percentage of each Client’s account, payable quarterly in arrears. The management fee is generally equal to 1.0% (per annum)."
        ]
      },
      {
        "label": "Account minimum",
        "statements": [
          "Account minimum: $300,000 (the brochure says it may be waived or negotiated)"
        ],
        "quotes": [
          "The minimum amount of assets under management for a Client account is $ 300,000. Ballina may, in its sole discretion, waive the minimum investment requirement for any Client."
        ]
      }
    ],
    "values": {
      "tiers": [
        {
          "min": null,
          "max": null,
          "rate_pct": 1.0
        }
      ],
      "range_pct": null,
      "max_pct": null,
      "account_minimum": 300000.0,
      "minimum_annual_fee": null,
      "planning": []
    },
    "quotes": [
      "Ballina typically receives a quarterly asset-based management fee calculated as a percentage of each Client’s account, payable quarterly in arrears. The management fee is generally equal to 1.0% (per annum).",
      "The minimum amount of assets under management for a Client account is $ 300,000. Ballina may, in its sole discretion, waive the minimum investment requirement for any Client."
    ],
    "note": "As stated in the firm's brochure; fees can differ by service and may be negotiable."
  },
  "custodians": [
    {
      "name": "Interactive Brokers LLC",
      "name_as_filed": "INTERACTIVE BROKERS LLC",
      "affiliated": false
    },
    {
      "name": "J.P. Morgan Chase Bank, N.A.",
      "name_as_filed": "J.P. MORGAN CHASE BANK, N.A.",
      "affiliated": false
    },
    {
      "name": "Northern Trust Securities, Inc.",
      "name_as_filed": "NORTHERN TRUST SECURITIES, INC.",
      "affiliated": false
    },
    {
      "name": "State Street Bank and Trust Company",
      "name_as_filed": "STATE STREET BANK AND TRUST COMPANY",
      "affiliated": false
    },
    {
      "name": "The Bank of New York Mellon Corporation",
      "name_as_filed": "THE BANK OF NEW YORK MELLON CORPORATION",
      "affiliated": false
    }
  ],
  "custodians_note": "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.",
  "markdown_url": "https://advisorcensus.com/firm/ballina-capital-llc-289598.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 6,
      "fewer_than_5": false,
      "raum": 11347681.0
    },
    {
      "type": "state_municipal",
      "label": "State or municipal government entities (including government pension plans)",
      "count": 5,
      "fewer_than_5": false,
      "raum": 464547865.0
    },
    {
      "type": "other_investment_advisers",
      "label": "Other investment advisers",
      "count": null,
      "fewer_than_5": true,
      "raum": 418322.0
    },
    {
      "type": "other",
      "label": "Other",
      "count": null,
      "fewer_than_5": true,
      "raum": 9942798.0
    }
  ],
  "disclosure_line": "Reports no disclosure items on Form ADV Item 11.",
  "disclosure_items": [],
  "indexable": true,
  "suppressed": false,
  "claimed": false,
  "enhanced": false,
  "provided_by_the_firm": null,
  "source": {
    "name": "Form ADV",
    "as_of": "2026-10-01",
    "iapd_url": "https://adviserinfo.sec.gov/firm/summary/289598",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}