DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Ballew Advisors Inc
Latest filing Mar 3, 2026
First filing on the tape Mar 30, 2012 · 32 filings
SEC status approved since Jun 21, 1991
RAUM
$1.3B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
49%
$630M individuals and HNW
Advisors
8
registered through the firm on IAPD
RAUM per advisor
$162M
derived; firm RAUM over IAPD count
Employees
11
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
32 filings and snapshots on the tape
RAUM$1.3B as of Mar 3, 2026
Mar 30, 2012$368M then
HNW client RAUM$148M as of Mar 3, 2026
Mar 29, 2018$102M then
State-registered IARs (5.B.3)6 as of Mar 3, 2026
Mar 30, 20120 then
Employees (5.A)11 as of Mar 3, 2026
Mar 28, 201312 then
Private funds1 as of Mar 6, 2024
Mar 28, 20131 then
RAUM +18% over the last fiscal year+16% a year over threeIARs 6 to 6
Practice profile
derived from the filing of Mar 3, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $162MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 107derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.2MderivedHNW RAUM over HNW clients
- Average account
- $714,119derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 49%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 8.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.5%derived
- Compensation
- percentage of assets, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, publicationsreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$629M49%
- Individuals$482M37%
- High-net-worth individuals$148M11%
- Corporations and businesses$36.0M2.8%
- Charitable organizations$812,1370.1%
- Individual clients
- 818reported
- HNW clients
- 35reported
- Pension plan clients
- 97reported
- Charitable clients
- 2reported
- Accounts
- 1,815reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.49 fund_share=0.0 institutional_share=0.49 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
8 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Clyde Brooks Mosley | Jackson, Ms | Jul 25, 1997 | 38 y | 1 |
| Thomas Douglas Dale | Jackson, Ms | Jul 25, 1997 | 31 y | 1 |
| James Albert HurtChartered Financial Consultant | Jackson, Ms | Jul 25, 1997 | 41 y | 1 |
| Alan Patrick MccormickCertified Financial Planner | Jackson, Ms | Oct 30, 2006 | 20 y | 0 |
| Robert Scott Rives | Jackson, Ms | Jan 31, 2007 | 19 y | 0 |
| Sherry Mitchener Mosley | Jackson, Ms | Aug 10, 2023 | 17 y | 0 |
| Karl Edgar ByrdCertified Financial Planner | Jackson, Ms | Jan 1, 2026 | 41 y | 1 |
| Samuel Thomas Mosley | Jackson, Ms | May 11, 2026 | 10 y | 0 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- Charles Devin Hamilton to Nuveen Asset Management, LLCJul 7, 2020 · RIA to RIA
- Marcus Chadale Kincaid to Voya Financial Partners, LLCMar 9, 2006 · Other
Joined, latest
- Karl Edgar Byrd from Choices IncJan 1, 2026 · Other
- Marcus Chadale Kincaid from Valic Financial Advisors, Inc.Jan 9, 2006 · Other
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Consilium Capital Fund, LPno longer reported | Other Private Fund | $8.9M | 19 | Mar 28, 2013 |
Owners and control persons
Schedule A and B, latest filing
- Humphries Brooke Cheslek · Chief Operating Officer, Treasurercontrolsince 04/2025 · owns less than 5%
- Douglas Thomas Dale · Corporate Secretarycontrolsince 08/2005 · owns less than 5%
- Patrick Alan Mccormick · Vice Presidentcontrolsince 07/2023 · owns less than 5%
- W Patrick Mcnulty · Chief Operations Officer/Directorcontrolsince 01/2000 · owns less than 5%
- Brooks Clyde Mosley · Chief Executive Officer/Chief Compliance Officer/Presidentcontrolsince 01/2006 · owns 75% or more
- Scott Robert Rives · Vice Presidentcontrolsince 07/2023 · owns less than 5%
Entity owners
- Security Ballew, Inc. · Parent Company/Sole Shareholderdirect · owns 75% or more
- S B Holding Company, Inc. · Sole Shareholder Of Security Ballew, Inc.indirect · owns 75% or more of Security Ballew, Inc.
Related persons
Schedule D 7.A
- Ballew Investments, Inc.broker-dealern
- Bia, Inc.real estaten
- Consilium Capital, LLCpooled vehicle sponsorn
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Jackson, Ms · principal | 8 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
5 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Mar 3, 2026MCCORMICK, ALAN, PATRICK (VICE PRESIDENT) appeared on Schedule A between the filings of 2012-03-30 and 2026-03-03peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Mar 3, 2026RIVES, ROBERT, SCOTT (VICE PRESIDENT) appeared on Schedule A between the filings of 2012-03-30 and 2026-03-03peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Mar 3, 2026MCNULTY, PATRICK, W (CHIEF OPERATIONS OFFICER/DIRECTOR) left Schedule A between the filings of 2012-03-30 and 2026-03-03peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Mar 3, 2026CHESLEK, BROOKE, HUMPHRIES (CHIEF OPERATING OFFICER, TREASURER) appeared on Schedule A between the filings of 2012-03-30 and 2026-03-03peers: independent wealth managers, $1B to $5B (1,362)
- affiliate changedChange between filings · filing Mar 3, 2026broker-dealer affiliate (Item 7.A.1): yes on the filing of 2025-03-21, no on the filing of 2026-03-03peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Accounts · 1,752 to 1,815Mar 21, 2025 to Mar 3, 2026
- BD registered reps · 6 to 0Mar 21, 2025 to Mar 3, 2026
- Charity clients · 5 to 2Mar 21, 2025 to Mar 3, 2026
- Corporate clients · 16 to 19Mar 21, 2025 to Mar 3, 2026
- HNW clients · 42 to 35Mar 21, 2025 to Mar 3, 2026
- Individual clients · 790 to 818Mar 21, 2025 to Mar 3, 2026
- Pension plan clients · 102 to 97Mar 21, 2025 to Mar 3, 2026
- Discretionary RAUM · $1.1B to $1.3BMar 21, 2025 to Mar 3, 2026
- HNW RAUM · $182M to $148MMar 21, 2025 to Mar 3, 2026
- Individual RAUM · $356M to $482MMar 21, 2025 to Mar 3, 2026
- Pension RAUM · $533M to $629MMar 21, 2025 to Mar 3, 2026
- RAUM · $1.1B to $1.3BMar 21, 2025 to Mar 3, 2026
- Related broker-dealer · true to falseMar 21, 2025 to Mar 3, 2026
- Accounts · 1,668 to 1,752Mar 6, 2024 to Mar 21, 2025
- Corporate clients · 12 to 16Mar 6, 2024 to Mar 21, 2025
- HNW clients · 20 to 42Mar 6, 2024 to Mar 21, 2025
- Individual clients · 1,098 to 790Mar 6, 2024 to Mar 21, 2025
- Pension plan clients · 99 to 102Mar 6, 2024 to Mar 21, 2025
- Pooled vehicle clients · 1.0 to unsetMar 6, 2024 to Mar 21, 2025
- Financial planning clients · 26-50 to 11-25Mar 6, 2024 to Mar 21, 2025
- Private funds · 1 to unsetMar 6, 2024 to Mar 21, 2025
- Discretionary RAUM · $1.0B to $1.1BMar 6, 2024 to Mar 21, 2025
- HNW RAUM · $82.2M to $182MMar 6, 2024 to Mar 21, 2025
- Individual RAUM · $373M to $356MMar 6, 2024 to Mar 21, 2025
- Non-discretionary RAUM · $8.9M to $0Mar 6, 2024 to Mar 21, 2025
- Pension RAUM · $566M to $533MMar 6, 2024 to Mar 21, 2025
- Pooled vehicle RAUM · 8902220.0 to unsetMar 6, 2024 to Mar 21, 2025
- RAUM · $1.0B to $1.1BMar 6, 2024 to Mar 21, 2025
- Accounts · 1,207 to 1,668Jan 26, 2024 to Mar 6, 2024
- Advisory employees · 7 to 6Jan 26, 2024 to Mar 6, 2024
- BD registered reps · 7 to 6Jan 26, 2024 to Mar 6, 2024
- Charity clients · 4 to 5Jan 26, 2024 to Mar 6, 2024
- Corporate clients · 27 to 12Jan 26, 2024 to Mar 6, 2024
- HNW clients · 100 to 20Jan 26, 2024 to Mar 6, 2024
- Individual clients · 1,074 to 1,098Jan 26, 2024 to Mar 6, 2024
- Pension plan clients · unset to 99.0Jan 26, 2024 to Mar 6, 2024
- State-registered IARs · 7 to 6Jan 26, 2024 to Mar 6, 2024
- Discretionary RAUM · $825M to $1.0BJan 26, 2024 to Mar 6, 2024
- HNW RAUM · $236M to $82.2MJan 26, 2024 to Mar 6, 2024
- Individual RAUM · $568M to $373MJan 26, 2024 to Mar 6, 2024
Signals
4 dated events
- Edgar Karl Byrd (Vice President/Director) no longer on Schedule A of Ballew Advisors Inc (listed 2023-09-08, absent 2024-01-26)Jan 26, 2024 · Control person left · inference
- Albert James Hurt (Vice President/Director) no longer on Schedule A of Ballew Advisors Inc (listed 2021-04-06, absent 2022-02-01)Feb 1, 2022 · Control person left · inference
- Leland Maston Ballew (Chairman Of The Board) no longer on Schedule A of Ballew Advisors Inc (listed 2020-08-10, absent 2021-03-10)Mar 10, 2021 · Control person left · inference
- Ballew Advisors Inc reported RAUM $743.3M, up 30% from $571.2M (2019-03-22 to 2020-02-06)Feb 6, 2020 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business phone
- 601-368-3500reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 800-879-4467reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- BALLEWWEALTH.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 601-368-3500reportedpublic record, Form ADV, Mar 3, 2026
- Team page
- ballewwealth.com/our-teamreportedpublished by the firm, firm site, Sep 16, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $162Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026