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RIA / WealthAdvisor22 years in industry

ROY R RUMBLEY

Advisor at BALLAST WEALTH LLC

BIRMINGHAM, AL

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Search this name across graphsid dfx:ria:4bb5f779-3e88-7464-fe0f-65b910d0295e

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:06 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Mar 11, 2005 to Sep 14, 2026

Across DFX

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.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: BALLAST WEALTH LLC
Current firm class: state registeredderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Aug 10, 2004earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Aug 10, 2004
First registration: Mar 11, 2005
Dual registered: no
IAPD individual key: 4800237

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
BALLAST WEALTH LLC	State registered	May 14, 2026	n/a	yes	BIRMINGHAM, AL	Current employment
GREYBOX INVESTMENTS	Independent wealth	Aug 11, 2016	May 14, 2026	no	Birmingham, AL\|Birmingham, AL\|BIRMINGHAM, AL	Previous registration
STONEX ADVISORS INC.	Bd affiliated wealth	Jun 30, 2016	Aug 25, 2016	no	BIRMINGHAM, AL	Previous registration
STERNE AGEE ASSET MANAGEMENT, INC.	Former SEC adviser	Mar 11, 2005	Jun 30, 2016	no	BIRMINGHAM, AL	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
GREYBOX INVESTMENTS	BALLAST WEALTH LLC	May 14, 2026	May 14, 2026	0	Firm change	RIA to state RIA
STONEX ADVISORS INC.	GREYBOX INVESTMENTS	Aug 25, 2016	Aug 11, 2016	-14	Firm change	Other
STERNE AGEE ASSET MANAGEMENT, INC.	STONEX ADVISORS INC.	Jun 30, 2016	Jun 30, 2016	0	Bulk transfer	Other

Relationships

Registered with (4)

→ BALLAST WEALTH LLCRegistered adviserregistration: current employment
May 14, 2026 to presentfactForm ADV
→ GREYBOX INVESTMENTSRegistered adviserregistration: previous registration
Aug 11, 2016 to May 14, 2026factForm ADV
→ STONEX ADVISORS INC.Registered adviserregistration: previous registration
Jun 30, 2016 to Aug 25, 2016factForm ADV
→ STERNE AGEE ASSET MANAGEMENT, INC.Registered adviserregistration: previous registration
Mar 11, 2005 to Jun 30, 2016factForm ADV

Dated events

Occurred
May 14, 2026
Advisor changed firm
Roy R Rumbley left Greybox Investments for Ballast Wealth Llc (registered 2026-05-14)
Form ADVobserved 6 days ago