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BALLAST ADVISORS, LLC
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BALLAST ADVISORS, LLC
(CRD# 285991)
is an SEC-Registered Investment Advisor (RIA), headquartered in
Woodbury, MN.
The SEC approved the firm to operate as an RIA in
Jan 2017.
In
Mar 2018,
the firm reported total Regulatory Assets Under Management (RAUM) of
$351.1 Million,
and has discretion over
97%
of those assets.
Pooled investment vehicles (Private Funds) account for
0%
of RAUM.
Non-US investors represent
0%
.
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BALLAST ADVISORS, LLC
also reported in
Mar 2018:
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16
employees,
with
8
performing advisory functions.
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A total of 4 office locations.
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No registrations with foreign financial regulatory authorities.
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NO OPERATIONS as a Commodity Pool Operator (CPO) or Commodity Trading Advisor (CTA).
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BALLAST ADVISORS, LLC has no disclosure events reported to the SEC at this time.
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BALLAST ADVISORS, LLC has Notice Filings with the following State Securities Authorities:
AZ-Feb 2017, CA-Feb 2017, FL-Feb 2017, GA-Feb 2017, IA-Feb 2017
, IL-Jun 2017, LA-Feb 2017, MI-Feb 2017, MN-Feb 2017, NE-Feb 2017
, NH-Feb 2017, NJ-Feb 2017, NY-Feb 2017, PA-Mar 2018, TX-Feb 2017
, VA-Feb 2017, WA-Jun 2017, WI-Feb 2017
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Disclaimer:
The information presented above was gleaned from the SEC
website and is believed to be accurate.
FindingFraud.org is presenting this data for
informational purposes only and assumes no
responsibility for errors or omissions. Please
note that we are aware of many instances where RIAs
provided erroneous data to the SEC. Feel Free to
contact FindingFraud.org with questions or concerns.
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