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
Ballyrock Investment Advisors LLC
Latest filing Jul 30, 2026
First filing on the tape Mar 28, 2012 · 56 filings
SEC status approved since Sep 20, 2001
RAUM
$11B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
24
reported on Schedule D
History
56 filings and snapshots on the tape
RAUM$11B as of Jul 30, 2026
Mar 28, 2012$1.6B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jul 30, 2026
Mar 28, 20120 then
Employees (5.A)5 as of Jul 30, 2026
Mar 27, 20130 then
Private funds24 as of Jul 30, 2026
Mar 28, 20125 then
RAUM +31% over the last fiscal year+30% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jul 30, 2026; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $458MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +31%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, performance-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 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
- has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$11B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 24reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=0.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
26 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Ballyrock Clo 18 Ltd. | Securitized Asset Fund | $533M | 7 | Mar 31, 2022 |
| Ballyrock Clo 20 Ltd. | Securitized Asset Fund | $488M | 10 | Mar 28, 2023 |
| Ballyrock Clo 17 Ltd. | Securitized Asset Fund | $486M | 8 | Mar 31, 2022 |
| Ballyrock Clo 24 Ltd. | Securitized Asset Fund | $445M | 9 | Mar 28, 2024 |
| Ballyrock Clo 25 Ltd. | Securitized Asset Fund | $444M | 9 | Mar 28, 2024 |
| Ballyrock Clo 23 Ltd. | Securitized Asset Fund | $443M | 6 | Mar 28, 2024 |
| Ballyrock Clo 16 Ltd. | Securitized Asset Fund | $438M | 9 | Mar 31, 2022 |
| Ballyrock Clo 2018-1 Ltd | Securitized Asset Fund | $421M | 9 | Mar 29, 2018 |
| Ballyrock Clo 19 Ltd. | Securitized Asset Fund | $411M | 8 | Mar 28, 2023 |
| Ballyrock Clo 21 Ltd. | Securitized Asset Fund | $393M | 10 | Mar 28, 2023 |
| Ballyrock Clo 14 Ltd. | Securitized Asset Fund | $391M | 8 | Mar 31, 2021 |
| Ballyrock Clo 2014-1 Ltdno longer reported | Securitized Asset Fund | $391M | 3 | Mar 27, 2015 |
| Ballyrock Clo 15 Ltd. | Securitized Asset Fund | $391M | 8 | Mar 31, 2022 |
| Ballyrock Clo 2020-2 Ltd. | Securitized Asset Fund | $390M | 6 | Mar 31, 2021 |
| Ballyrock Clo 2019-1 Ltd | Securitized Asset Fund | $387M | 6 | Mar 29, 2019 |
| Ballyrock Clo 2006-2 Ltd.no longer reported | Securitized Asset Fund | $314M | 64 | Mar 28, 2012 |
| Ballyrock Clo 2019-2 Ltd | Securitized Asset Fund | $313M | 7 | Mar 30, 2020 |
| Ballyrock Abs Cdo 2007-1 Limitedno longer reported | Securitized Asset Fund | $137M | 4 | Mar 28, 2012 |
| Ballyrock Clo 2006-1 Ltd.no longer reported | Securitized Asset Fund | $117M | 13 | Mar 28, 2012 |
| Ballyrock Clo 22 Ltd. | Securitized Asset Fund | $95.9M | 3 | Mar 28, 2024 |
| Ballyrock Clo III, Ltd.no longer reported | Securitized Asset Fund | $78.4M | 60 | Mar 28, 2012 |
| Ballyrock Clo 26 Ltd. | Securitized Asset Fund | $39.5M | 2 | Mar 28, 2024 |
| Ballyrock Clo II Limitedno longer reported | Securitized Asset Fund | $3.0M | 60 | Mar 28, 2012 |
| Ballyrock Clo 2013-1 Ltdno longer reported | Securitized Asset Fund | $221,832 | 3 | Mar 25, 2014 |
| Ballyrock Clo 2016-1 Ltd | Securitized Asset Fund | $0 | 0 | Mar 28, 2017 |
| Ballyrock Clo 2020-1 Ltd. | Securitized Asset Fund | $0 | 0 | Mar 31, 2021 |
Owners and control persons
Schedule A and B, latest filing
- Jean Stephanie Brown · Chief Compliance Officercontrolsince 01/2023 · owns less than 5%
- Alexander Bart Grenier · Head Of Asset Managementcontrolsince 02/2020 · owns less than 5%
- Todd Lionel Harris · Vice President, Directorcontrolsince 02/2024 · owns less than 5%
- Jay Harley Lank · Director, President, Head Of High Incomecontrolsince 08/2019 · owns less than 5%
- Paul Christopher Quinlan · Chief Operating Officercontrolsince 01/2020 · owns less than 5%
- John Christopher Rimmer · Head Of Asset Management Finance, Treasurercontrolsince 10/2018 · owns less than 5%
- Crosby Edward Johnson IV · Elected Managercontrolsince 04/2006 · owns F of Fmr LLC
- Pierrepont Abigail Johnson · Elected Managercontrolsince 05/1994 · owns F of Fmr LLC
- John Gerard Mcgraw · Elected Managercontrolsince 10/2014 · owns F of Fmr LLC
- Charles Stephen Neff · Elected Managercontrolsince 04/2023 · owns F of Fmr LLC
- Engber Michael Wilens · Elected Managercontrolsince 10/2014 · owns F of Fmr LLC
- Eric Mark Mollenhauer · Vice Presidentsince 04/2012 · owns less than 5%
- Dunleavy Kevin Nielsen · Vice Presidentsince 04/2018 · owns less than 5%
- Roch Chandler Perine · Vice Presidentsince 10/2022 · owns less than 5%
- Philip Jason Pogorelec · Compliance Officersince 06/2020 · owns less than 5%
Entity owners
- Fmr LLC · Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- 42 North Resource Partners Advisors II LPpooled vehicle sponsorn
- 42 North Resource Partners Advisors LPpooled vehicle sponsorn
- Agilus Ventures Advisors IV Limited Partnershippooled vehicle sponsorn
- Alimont Ventures Advisors V Limited Partnershippooled vehicle sponsorn
- Avon Venture Advisors Fund I LPpooled vehicle sponsorn
- Avon Venture Advisors Fund II LPpooled vehicle sponsorn
- Di Consumer Advisors Fund I LPpooled vehicle sponsorn
- Di Opportunity Advisors Fund LPpooled vehicle sponsorn
- Digital Brokerage Services LLCbroker-dealern
- Empire Fidelity Investments Life Insurance Companyreal estaten
- F-Prime Capital Partners Healthcare Advisors Fund II LPpooled vehicle sponsorn
- F-Prime Capital Partners Healthcare Advisors Fund III LPpooled vehicle sponsorn
- F-Prime Capital Partners Healthcare Advisors Fund IV LPpooled vehicle sponsorn
- F-Prime Capital Partners Healthcare Advisors Fund IV-A LPpooled vehicle sponsorn
- F-Prime Capital Partners Healthcare Advisors Fund LPpooled vehicle sponsorn
- F-Prime Capital Partners Healthcare Advisors Fund V LPpooled vehicle sponsorn
- F-Prime Capital Partners Hits Advisors Fund II LPpooled vehicle sponsorn
- F-Prime Capital Partners Hits Advisors Fund III LPpooled vehicle sponsorn
- F-Prime Capital Partners Hits Advisors Fund LPpooled vehicle sponsorn
- F-Prime Capital Partners Life Sciences Advisors Fund Vi LPpooled vehicle sponsorn
- F-Prime Capital Partners Life Sciences Advisors Fund Vii LPpooled vehicle sponsorn
- F-Prime Capital Partners Life Sciences Advisors Fund Viii LPpooled vehicle sponsorn
- F-Prime Capital Partners Tech Advisors Fund 2021 LPpooled vehicle sponsorn
- F-Prime Capital Partners Tech Advisors Fund II LPpooled vehicle sponsorn
- F-Prime Capital Partners Tech Advisors Fund LPpooled vehicle sponsorn
- Fiam Index Fund Gp, LLCbankpooled vehicle sponsorn
- Fiam Institutional Funds Manager, LLCbankpooled vehicle sponsorn
- Fiam LLCinvestment adviserbankLP sponsornRAUM $348B
- Fidelity Brokerage Services LLCbroker-dealern
- Fidelity Business Services India Private Limitedinvestment advisern
Advisers that list Ballyrock Investment Advisors LLC as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 20 to 24Feb 20, 2026 to Mar 30, 2026
- Pooled vehicle clients · 20 to 24Feb 20, 2026 to Mar 30, 2026
- Private funds · 25 to 24Feb 20, 2026 to Mar 30, 2026
- Discretionary RAUM · $8.4B to $11BFeb 20, 2026 to Mar 30, 2026
- Pooled vehicle RAUM · $8.4B to $11BFeb 20, 2026 to Mar 30, 2026
- RAUM · $8.4B to $11BFeb 20, 2026 to Mar 30, 2026
- Private funds · 20 to 25Jun 23, 2025 to Feb 20, 2026
- Advisory employees · 0 to 3Apr 10, 2025 to Jun 23, 2025
- Employees · 0 to 5Apr 10, 2025 to Jun 23, 2025
- Financial planning clients · unset to Apr 10, 2025 to Jun 23, 2025
- Accounts · 18 to 20Feb 24, 2025 to Apr 10, 2025
- Pooled vehicle clients · 18 to 20Feb 24, 2025 to Apr 10, 2025
- Private funds · 21 to 20Feb 24, 2025 to Apr 10, 2025
- Discretionary RAUM · $6.5B to $8.4BFeb 24, 2025 to Apr 10, 2025
- Pooled vehicle RAUM · $6.5B to $8.4BFeb 24, 2025 to Apr 10, 2025
- RAUM · $6.5B to $8.4BFeb 24, 2025 to Apr 10, 2025
- Private funds · 18 to 21Jan 23, 2025 to Feb 24, 2025
- Accounts · 14 to 18Feb 28, 2024 to Mar 28, 2024
- Pooled vehicle clients · 14 to 18Feb 28, 2024 to Mar 28, 2024
- Private funds · 14 to 18Feb 28, 2024 to Mar 28, 2024
- Discretionary RAUM · $5.0B to $6.5BFeb 28, 2024 to Mar 28, 2024
- Pooled vehicle RAUM · $5.0B to $6.5BFeb 28, 2024 to Mar 28, 2024
- RAUM · $5.0B to $6.5BFeb 28, 2024 to Mar 28, 2024
- Accounts · 11 to 14Feb 1, 2023 to Mar 28, 2023
- Pooled vehicle clients · 11 to 14Feb 1, 2023 to Mar 28, 2023
- Other offices · 1 to 0Feb 1, 2023 to Mar 28, 2023
- Private funds · 11 to 14Feb 1, 2023 to Mar 28, 2023
- Discretionary RAUM · $3.9B to $5.0BFeb 1, 2023 to Mar 28, 2023
- Pooled vehicle RAUM · $3.9B to $5.0BFeb 1, 2023 to Mar 28, 2023
- RAUM · $3.9B to $5.0BFeb 1, 2023 to Mar 28, 2023
- Accounts · 7 to 11Feb 10, 2022 to Mar 31, 2022
- Pooled vehicle clients · 7 to 11Feb 10, 2022 to Mar 31, 2022
- Private funds · 7 to 11Feb 10, 2022 to Mar 31, 2022
- Discretionary RAUM · $2.4B to $3.9BFeb 10, 2022 to Mar 31, 2022
- Pooled vehicle RAUM · $2.4B to $3.9BFeb 10, 2022 to Mar 31, 2022
- RAUM · $2.4B to $3.9BFeb 10, 2022 to Mar 31, 2022
- Accounts · 4 to 7Jan 2, 2021 to Mar 31, 2021
- Pooled vehicle clients · 4 to 7Jan 2, 2021 to Mar 31, 2021
- Private funds · 4 to 7Jan 2, 2021 to Mar 31, 2021
- Discretionary RAUM · $1.5B to $2.4BJan 2, 2021 to Mar 31, 2021
Signals
26 dated events
- Ballyrock Investment Advisors Llc reported RAUM $11.0B, up 31% from $8.4B (2026-02-20 to 2026-03-30)Mar 30, 2026 · RAUM change · derived
- Ballyrock Investment Advisors Llc reported RAUM $8.4B, up 29% from $6.5B (2025-02-24 to 2025-04-10)Apr 10, 2025 · RAUM change · derived
- Ballyrock Investment Advisors Llc reported RAUM $6.5B, up 31% from $5.0B (2024-02-28 to 2024-03-28)Mar 28, 2024 · RAUM change · derived
- Joseph John Remondi (Elected Manager) no longer on Schedule A of Ballyrock Investment Advisors Llc (listed 2024-02-28, absent 2024-03-28)Mar 28, 2024 · Control person left · inference
- Todd Lionel Harris (Vice President, Director) appeared on Schedule A of Ballyrock Investment Advisors LlcMar 28, 2024 · Control person joined · fact
- Thomas Paul Quistberg (Vice President, Director) no longer on Schedule A of Ballyrock Investment Advisors Llc (listed 2023-08-08, absent 2024-02-28)Feb 28, 2024 · Control person left · inference
- Charles Stephen Neff (Elected Manager) appeared on Schedule A of Ballyrock Investment Advisors LlcJun 6, 2023 · Control person joined · fact
- Ballyrock Investment Advisors Llc reported RAUM $5.0B, up 27% from $3.9B (2023-02-01 to 2023-03-28)Mar 28, 2023 · RAUM change · derived
- Jean Stephanie Brown (Chief Compliance Officer) appeared on Schedule A of Ballyrock Investment Advisors LlcJan 23, 2023 · Control person joined · fact
- Charles James Curvey (Elected Manager) no longer on Schedule A of Ballyrock Investment Advisors Llc (listed 2022-11-02, absent 2023-01-23)Jan 23, 2023 · Control person left · inference
- Matthew Kevin Meagher (Chief Compliance Officer) no longer on Schedule A of Ballyrock Investment Advisors Llc (listed 2022-11-02, absent 2023-01-23)Jan 23, 2023 · Control person left · inference
- Ballyrock Investment Advisors Llc reported RAUM $3.9B, up 65% from $2.4B (2022-02-10 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- Thomas Paul Quistberg (Vice President, Director) appeared on Schedule A of Ballyrock Investment Advisors LlcFeb 10, 2022 · Control person joined · fact
- Elliot Benjamin Harrison (Director) no longer on Schedule A of Ballyrock Investment Advisors Llc (listed 2021-03-31, absent 2022-02-10)Feb 10, 2022 · Control person left · inference
- Ballyrock Investment Advisors Llc reported RAUM $2.4B, up 55% from $1.5B (2021-01-02 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- Ballyrock Investment Advisors Llc reported RAUM $1.5B, up 86% from $821.5M (2020-02-13 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
- Alexander Bart Grenier (Head Of Asset Management) appeared on Schedule A of Ballyrock Investment Advisors LlcMar 30, 2020 · Control person joined · fact
- Charles Stephen Neff (Head Of Asset Management) no longer on Schedule A of Ballyrock Investment Advisors Llc (listed 2020-02-13, absent 2020-03-30)Mar 30, 2020 · Control person left · inference
- Paul Christopher Quinlan (Chief Operating Officer) appeared on Schedule A of Ballyrock Investment Advisors LlcFeb 13, 2020 · Control person joined · fact
- Elliot Benjamin Harrison (Director) appeared on Schedule A of Ballyrock Investment Advisors LlcFeb 13, 2020 · Control person joined · fact
- Delia Nancy Prior (Director) no longer on Schedule A of Ballyrock Investment Advisors Llc (listed 2020-01-31, absent 2020-02-13)Feb 13, 2020 · Control person left · inference
- Michele Lisa Goulemas (Chief Operating Officer) no longer on Schedule A of Ballyrock Investment Advisors Llc (listed 2020-01-31, absent 2020-02-13)Feb 13, 2020 · Control person left · inference
- Thomas Matthew Born (Director) no longer on Schedule A of Ballyrock Investment Advisors Llc (listed 2019-12-15, absent 2020-01-31)Jan 31, 2020 · Control person left · inference
- Jay Harley Lank (Director, President, Head Of High Income) appeared on Schedule A of Ballyrock Investment Advisors LlcSep 30, 2019 · Control person joined · fact
- Charles Stephen Neff (Head Of Asset Management) appeared on Schedule A of Ballyrock Investment Advisors LlcJan 4, 2019 · Control person joined · fact
- Sumner Charles Morrison (President Of Asset Management) no longer on Schedule A of Ballyrock Investment Advisors Llc (listed 2018-10-29, absent 2019-01-04)Jan 4, 2019 · Control person left · inference
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
- Principal office phone
- 617-563-7000reportedpublic record, Form ADV, Jul 30, 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
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026