Ballast Wealth LLC
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About
The firm provides discretionary investment advisory and portfolio management services to individuals, trusts, estates and small businesses, and charges asset-based fees typical of supported firms. Ballast constructs customized portfolios primarily using individual equity securities and may also use mutual funds, ETFs or sub-advisors as appropriate.
Ballast’s investment process emphasizes continuous personal contact and a primarily long-term approach, employing both fundamental and technical analysis to select and monitor positions. The firm will hold securities for extended periods but may trade more actively for rebalancing, tax management, or tactical reasons, and it performs due diligence on any sub-advisor relationships.
Although the ADV permits servicing high‑net‑worth clients, the firm’s reported scale — roughly 170 client relationships and about $40 million in assets managed by two advisors — indicates it primarily serves smaller individual accounts rather than a concentrated HNW clientele, which is less common for supported firms. The firm, founded in 2022, focuses on individualized, equity‑centric portfolios, does not accept custody except for authorized fee deductions, and participates in an institutional custodian platform that provides third‑party services and benefits to the advisor.
Client services
Expertise
Fee options
Up to 1.50% annually, fees are negotiable and based on factors including scope, complexity, level of assets, and overall relationship
Fee-only: Fees are based solely on investment advisory fees; no commissions or other fee compensation received
Main office
Birmingham AL
Advisors at this office
2
Most active in
Alabama
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
Advisors at this firm
Ryan W
Series 66
Birmingham, AL
Ballast Wealth LLC
Ryan Weiss is a financial advisor at Ballast Wealth LLC in Birmingham, AL, holding a Series 66 designation and bringing 17 years of industry experience. He previously worked at DMC Group, LLC for 11 years and has managed Ballast Wealth since 2022. Outside of his advisory role, he is the managing partner of Wei(ss), LLC and Three Axis Capital, LLC, both real estate investment entities. Ballast Wealth LLC provides discretionary investment advisory and portfolio management services to individuals, trusts, estates, and small businesses. The firm focuses on customized, equity-centric portfolios and employs a primarily long-term investment approach that combines fundamental and technical analysis.
Roy R
Series 66
Birmingham, AL
Ballast Wealth LLC
Roy Rumbley is a financial advisor with Ballast Wealth LLC in Birmingham, AL, holding a Series 66 designation and 22 years of industry experience. He has been affiliated with DMC Group, LLC since 2016. Outside of his advisory work, he is the sole member of Rumbley Capital Management LLC, a non-investment-related business. Ballast Wealth LLC provides discretionary investment advisory and portfolio management services to individuals, trusts, estates, and small businesses. The firm constructs customized, primarily equity-focused portfolios and emphasizes continuous personal contact with clients through a long-term investment approach incorporating fundamental and technical analysis.
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