This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Current firm

BALLAST ROCK PRIVATE WEALTH

Current firm class

independent wealth managerderived

Book size

not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none

Industry start

Jan 13, 1997earliest registration or exam on IAPD

Years in industry

29derivedfrom the industry start date

Years at current firm

2derivedfrom the current registration's begin date

Prior firms

3

Current registrations

1

Registered states

1

Exams

S63|S65

First exam

Jan 13, 1997

First registration

Aug 16, 2011

Dual registered

no

IAPD individual key

1186198

• Occurred

  Sep 6, 2023
  Advisor changed firm

  James Bernard Carroll left Tidal Investments Llc for Ballast Rock Private Wealth (registered 2023-09-12)

  Form ADVobserved 6 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:22a9977d-3e56-d61d-7e0f-07dd715e0827

First observed

Aug 16, 2011

Last observed

Sep 14, 2026 7 days ago

Source families

Federal regulator filings

1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.

Resolution

Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.