Ballheim Financial LLC
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
Ballheim Financial LLC provides investment supervisory services and financial planning to individuals, high‑net‑worth individuals, and pension and profit‑sharing plans. The firm’s services include ongoing portfolio management, retirement plan administration, and advice on insurance products such as annuities, life, long‑term care and disability insurance.
Ballheim documents client objectives and constraints through an Investment Policy Statement for each client and generally pursues a long‑term trading strategy while allowing short‑term trades when requested. The firm uses tools such as Morningstar reports and Riskalyze in its analysis, typically operates with discretionary trading authority, and delivers monthly account reports through the custodian.
Compared with many small independent advisers, Ballheim explicitly offers retirement plan administration and a range of insurance product solutions, and it maintains multiple client‑facing websites listed in the brochure. The firm also requires use of a firm‑recommended custodian for execution and documents training and educational elements in its Code of Ethics, reflecting a structured approach to client communications and compliance that is not universal among peers.
Client services
Expertise
Fee options
Financial planning fixed fees range from $500 to $1,000
$1 - $200,000: 1.55% $200,001 - $400,000: 1.40% $400,000 - $1,000,000: 1.30% $1,000,000+: 1.00%
$100.00 per hour
Account minimum: $100,000 (may be waived)
Main office
Leclaire IA
Advisors at this office
1
Most active in
Iowa
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Is not active or affiliated with:
-
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
-
Bank
They're affiliated with a bank that may offer its own financial products and services.
-
Trust company
They provide trust and estate administration services, typically for separate fees.
-
Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
-
Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
-
Lawyer
They provide legal services, typically billed separately.
-
Real estate agent
They facilitate real estate transactions and may earn commissions.
-
Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
Not sure where to start?
We'll help you think it through—whether you ultimately need an advisor or not. Warmer helps you compare advisors clearly, so you can choose with confidence.
For advisor listings, we rely on sources including public filings and data provided by advisors, and we cannot guarantee that all information is current or accurate. Advisors are independent and may not have reviewed or updated this information. Please review an advisor’s Form ADV and do your own diligence before deciding whether to work with them.
Advisor matching and introductions are provided by FinanceHQ LLC (“FHQ”), a wholly-owned subsidiary of Warmer and an SEC-registered investment advisor. We receive compensation from certain participating advisors for introductions or referrals. This creates a conflict of interest because we have an incentive to recommend advisors who compensate us, including those who pay us more. You pay no fee to use our matching service, and advisor fees are not increased because of a referral or introduction. We do not review the ongoing performance of advisors, manage or hold assets, guarantee performance, or provide advice about specific investments.
By using our service, you agree to our Terms of Service and Advisory Agreement, and acknowledge our Privacy Policy. Please review FHQ’s ADV Part 2A and Form CRS. Logos provided by Logo.dev
© 2026 Warmer Holdings Inc. (“Warmer”)