About Ballast, Inc.
<p>Employee-owned since its 2005 start, Ballast, Inc. works as an SEC-registered investment advisor from Lexington in Kentucky’s Bluegrass region.</p> <p>Ballast follows a fiduciary standard and is structured as an independent firm. The team includes CERTIFIED FINANCIAL PLANNER™ professionals who work with clients on planning and investment decisions over time.</p> <p>As a <a href="/plan-advisors">plan advisor</a>, Ballast can take on 3(38) investment manager responsibilities for retirement plans, making and carrying out investment decisions for the plan. The firm also works with individuals, high-net-worth families, and businesses on coordinated planning.</p> <p>What sets Ballast apart is its employee-owned model paired with 3(38) discretion, which can reduce day-to-day investment oversight demands for plan sponsors.</p> <ul> <li>3(38) investment manager services for retirement plans</li> <li>Retirement planning</li> <li>Investment strategy and ongoing portfolio management</li> <li>Wealth management and estate-planning coordination</li> </ul>
Website: https://www.ballastfa.com/about-us
Office Locations
- Lexington, KY (Headquarters)
Services Offered
- 3(38) Investment Manager
Plans Serviced (2024)
Largest plans where this firm is listed as a service provider (Schedule C) or IQPA (Schedule H) on the most recent filings (From Form 5500).
| Plan | Sponsor | Assets | Participants |
|---|---|---|---|
| CENTRE COLLEGE RETIREMENT PLAN | CENTRE COLLEGE, KY | $112M | 503 |
Team Members
- John Boardman, Founder, CEO
- Andy Reynolds, Partner, COO
- Brian Burton, Partner, Chief Investment Officer
- Cameron Hamilton, Partner, Director of Financial Planning
- Frank Yozwiak, Director of Estate Planning/Tax