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.
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SEC-registered adviser
B•••••• A•••• M•••••••••
Legal name B•••••• A•••• M••••••••• L•
Latest filing Jul 9, 2026
First filing on the tape Oct 7, 2020 · 16 filings
SEC status approved since Nov 9, 2020
RAUM
$221M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$221M
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$221M as of Jul 9, 2026
Mar 30, 2021$11.3M then
HNW client RAUM$1.0M as of Mar 16, 2023
Mar 30, 2021$7.9M then
State-registered IARs (5.B.3)1 as of Jul 9, 2026
Mar 30, 20210 then
Employees (5.A)5 as of Jul 9, 2026
Mar 30, 20217 then
Private funds: no history
RAUM +6.9% over the last fiscal year+49% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Jul 9, 2026; every figure names its basis
Archetypes, each a printed rule
- solo s•••• team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $221MderivedRAUM 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
- $110MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 31%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 5.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +6.9%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for investment companiesreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$153M69%
- Pension and profit-sharing plans$67.8M31%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=0.69 institutional_share=0.31 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R•••• R• S••••••Chartered Financial Analyst | Dallas, Tx | Oct 10, 2024 | 26 y | 1 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- R•••• R• S•••••• from B•••••• A•••• M••••••••• L••Oct 10, 2024 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F••••••• T•••••• W• · Co-Portfolio Managercontrolsince 05/2023 · owns 10% to 25%
- K••••••• S••••••• · Ccocontrolsince 03/2022 · owns less than 5%
- S••••••••• J••• K•••••• · Co-Portfolio Managercontrolsince 05/2023 · owns 10% to 25%
- S••••••• R••••• R• · Managing Partnercontrolsince 09/2020 · owns 75% or more
- H••••• W••••••• G•••••• · Chief Financial Officer And Ccocontrolsince 01/2017 · owns 25% to 50% of I•••••••• C•••••• M••••••••• L••
- S••••• R•••• M••••• · Manager And Membercontrolsince 10/2012 · owns 50% to 75% of I•••••••• C•••••• M••••••••• L••
Entity owners
- I•••••••• C•••••• M••••••••• L•• · General Partnerdirect · owns less than 5%
Related persons
Schedule D 7.A
- I•••••••• C•••••• M••••••••• L••investment adviseryRAUM $81.8M
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- high institutional concentrationStatic outlier · filing Jul 9, 2026institutional share of RAUM of 31% against a peer median of 0% (1568 comparable advisers, 100.0th percentile, 10.4 robust deviations)peers: asset managers, $100M to $500M (1,568) · 100% percentile
What changed
consecutive filings, newest first
- Discretionary RAUM · $206M to $221MNov 11, 2025 to Mar 18, 2026
- Pension RAUM · $47.5M to $67.8MNov 11, 2025 to Mar 18, 2026
- RAUM · $206M to $221MNov 11, 2025 to Mar 18, 2026
- Advisory activities · 2 to 3Jan 21, 2025 to Feb 12, 2025
- Financial planning clients · unset to Jan 21, 2025 to Feb 12, 2025
- Discretionary RAUM · $168M to $206MJan 21, 2025 to Feb 12, 2025
- Pension RAUM · $43.7M to $47.5MJan 21, 2025 to Feb 12, 2025
- RAUM · $168M to $206MJan 21, 2025 to Feb 12, 2025
- Accounts · 3 to 2Sep 29, 2023 to Mar 22, 2024
- HNW clients · 2.0 to unsetSep 29, 2023 to Mar 22, 2024
- State-registered IARs · 0 to 1Sep 29, 2023 to Mar 22, 2024
- Discretionary RAUM · $66.9M to $168MSep 29, 2023 to Mar 22, 2024
- HNW RAUM · 1014864.0 to unsetSep 29, 2023 to Mar 22, 2024
- Pension RAUM · unset to 43703465.0Sep 29, 2023 to Mar 22, 2024
- RAUM · $66.9M to $168MSep 29, 2023 to Mar 22, 2024
- Accounts · 4 to 3Mar 31, 2022 to Mar 16, 2023
- Advisory employees · 2 to 3Mar 31, 2022 to Mar 16, 2023
- HNW clients · 3 to 2Mar 31, 2022 to Mar 16, 2023
- Employees · 3 to 5Mar 31, 2022 to Mar 16, 2023
- Discretionary RAUM · $49.2M to $66.9MMar 31, 2022 to Mar 16, 2023
- HNW RAUM · $1.4M to $1.0MMar 31, 2022 to Mar 16, 2023
- RAUM · $49.2M to $66.9MMar 31, 2022 to Mar 16, 2023
- Accounts · 14 to 4Jan 28, 2022 to Mar 31, 2022
- Advisory employees · 3 to 2Jan 28, 2022 to Mar 31, 2022
- BD registered reps · 1 to 0Jan 28, 2022 to Mar 31, 2022
- HNW clients · 12 to 3Jan 28, 2022 to Mar 31, 2022
- Employees · 7 to 3Jan 28, 2022 to Mar 31, 2022
- Discretionary RAUM · $11.3M to $49.2MJan 28, 2022 to Mar 31, 2022
- HNW RAUM · $7.9M to $1.4MJan 28, 2022 to Mar 31, 2022
- Individual RAUM · 120251.0 to unsetJan 28, 2022 to Mar 31, 2022
- RAUM · $11.3M to $49.2MJan 28, 2022 to Mar 31, 2022
- Accounts · 0 to 14Dec 23, 2020 to Mar 30, 2021
- BD registered reps · 0 to 1Dec 23, 2020 to Mar 30, 2021
- HNW clients · unset to 12.0Dec 23, 2020 to Mar 30, 2021
- Financial planning clients · 0 to unsetDec 23, 2020 to Mar 30, 2021
- Discretionary RAUM · $0 to $11.3MDec 23, 2020 to Mar 30, 2021
- HNW RAUM · unset to 7856898.0Dec 23, 2020 to Mar 30, 2021
- Individual RAUM · unset to 120251.0Dec 23, 2020 to Mar 30, 2021
- RAUM · $0 to $11.3MDec 23, 2020 to Mar 30, 2021
- Advisory activities · 1 to 2Oct 13, 2020 to Dec 23, 2020
Signals
6 dated events
- B•••••• A•••• M••••••••• reported RAUM $168.5M, up 152% from $66.9M (2023-09-29 to 2024-03-22)Mar 22, 2024 · RAUM change · derived
- Krishna Jai Singhania (Co-Portfolio Manager) appeared on Schedule A of B•••••• A•••• M•••••••••Sep 29, 2023 · Control person joined · fact
- W Thomas Fogarty (Co-Portfolio Manager) appeared on Schedule A of B•••••• A•••• M•••••••••Sep 29, 2023 · Control person joined · fact
- Stefanie Kennedy (Cco) appeared on Schedule A of B•••••• A•••• M•••••••••Mar 31, 2022 · Control person joined · fact
- Martin Ryan Small (Manager And Member) appeared on Schedule A of B•••••• A•••• M•••••••••Mar 30, 2021 · Control person joined · fact
- B•••••• A•••• M••••••••• filed its initial SEC registration (Form ADV)Oct 7, 2020 · First SEC registration · fact
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
- Website
- ballastam.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 469-502-3652reportedpublic record, Form ADV, Jul 9, 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
- $221Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026