BALLAST ROCK PRIVATE WEALTH LLC

CRD

322064

SEC file #

801-129645

EIN

882193902

DBA names

Ballast Rock Private Wealth

Economics

AUM

$405.7M

AUM band

$100M-$500M

AUM trajectory

'23 · $11.0M

'25 · $238.2M

'26 · $405.7M

'23'26

$11.0M → $405.7M▲ +3573%

sec adv history

Client mix

Individuals Other	140
Individuals High Net Worth	95
Corporations	14
Pension Profit Sharing Plans	2

Operations

Employees (total)

Advisory staff (per ADV)

Advisory staff (5-yr trend)

'23 · 4 advisors

'25 · 6 advisors

'26 · 8 advisors

'23'26

4 advisors → 8 advisors▲ +100%

sec adv history

Primary office

CHARLESTON SC

Branches

—

Custodian & Brokerage

Primary custodian

Charles Schwablow confidence

adv brochure

Services offered

Financial planningPortfolio mgmt — individualsPension consulting

Fee basis

% of AUMCommissions

Filings

Latest ADV filing

03/06/2026

ADV-W filed at

—

Website

ballastrockpw.com

Compliance

Disclosures (firm)

Trademark

—

Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name

BALLAST ROCK HOLDINGS LLC

Top Owner Pct

87.5

Top Owner Entity Kind

Owner Count

Control Persons

BALLAST ROCK HOLDINGS LLC

MESCON, ANDREW, JAMES

Solo Advisor Indicator

Succession Risk Solo Owner

Is Parent Owned Subsidiary

Yes

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed

sec adv w

Web presence ★

Stale website = winding down

Web Signal Quality

Rdap Domain

BALLASTROCKPW.COM

Rdap Domain Creation Date

2022-09-16T19:12:30Z

Rdap Firm Age Years

Rdap Firm Age Band

<5y

Rdap Registrar

Squarespace Domains LLC

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book

form 5500

SEC EDGAR

Edgar Cik

0002106928

Edgar Registered

Yes

Edgar Filing Count

Edgar First Filing Date

2026-02-04

Edgar Last Filing Date

2026-04-16

Edgar 13f Count

Edgar 13f Latest AUM Estimate

Filing Date2026-04-16

Accession0002106928-26-000002

Local market & wealth

Rank targets by how wealthy the local market is

Soi High Wealth Score

0.2209

Soi Zip Pct 200k Plus

0.0955

Soi Zip Returns 200k Plus

960

Soi Zip Total AGI

1,187,875

Fdic Zip Total Deposits

8,248,209,000

Fdic Zip Branch Count

135

Fdic Zip Top Banks

Pinnacle Bank

ServisFirst Bank

Compliance & brand

Firm Registration Status

active

sec adv w

All other collected signals (26)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed

sec adv w

Bc Firm Active Bc Count

brokercheck firm search

Bc Firm Active IA Count

brokercheck firm search

Bc Firm IAR Count

brokercheck firm search

Custodian Candidates

Full

Charles Schwab	6
Fidelity	4
E*trade	4

adv brochure

Edgar Addresses

Mailing

460 KING STSTE 200CHARLESTON, SC 29403

Business

460 KING STSTE 200CHARLESTON, SC 29403

Edgar EIN

882193902

Edgar Recent Filings

13F-HR2026-04-16 · 0002106928-26-000002

13F-HR2026-02-04 · 0002106928-26-000001

Fdic Zip Branches Raw

NationsBank of South Carolina, National AssociationCharleston, SC

Wachovia Bank of South Carolina, National AssociationCharleston, SC

Fdic Zip HHI

1189.53

Fdic Zip Top Bank Share Pct

20.46

Fdic Zip Year

2025

Firm Has Custody

Yes

Mailing Office Differs

Yes

Rdap Domain Expiration Date

2026-09-16T19:12:30Z

Rdap Domain Last Changed

2025-12-15T14:47:24Z

Rdap Nameservers

Ns1.wordpress.comNs2.wordpress.comNs3.wordpress.com

Rdap Secure Dns Enabled

Rdap Status

Client Delete ProhibitedClient Transfer Prohibited

Soi Year

2022

Soi Zip Distribution

Stub 1

AGI	39,455
Returns	2,930

Stub 2

AGI	89,437
Returns	2,440

Stub 3

AGI	96,651
Returns	1,590

Soi Zip Total Business Income

59,885

Soi Zip Total Cap Gains

94,484

Soi Zip Total Dividends

23,662

Soi Zip Total Returns

10,050

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