Ballast Financial Advisors LLC

Registered adviser

CIK

2109821

Location

WEST CHESTER, PA

Portfolio Value

Small $106,127,186

Diversification

Moderately concentrated

Filing Date

Global Rank

#8,210 / 8,827 ▼ 2 · as of Jun 2026

Top Industry

Banks - Diversified 20.2%

Period ended 38 days ago

Filed Oct 26, 2026 · 12d

4 quarters · since Dec 2025

Regulatory profile

From Form ADV, the SEC filer profile, 13D/13G type codes and N-CEN, never from the name.

Holder type

Registered adviser

Form ADV roster, Nov 1, 2026

Form ADV adviser

CRD 304430

Roster of Nov 1, 2026

Regulatory AUM

$342,648,784

Main clients

Individuals and high net worth (95% of AUM)

Form ADV history

Monthly rosters from Dec 2019; each row is a run with the same figures, newest first.

Rosters	Regulatory AUM	Main clients
Apr 2026 to Nov 2026	$342,648,784	Individuals and high net worth (95%)
Apr 2025 to Mar 2026	$276,381,883	Individuals and high net worth (94%)
Mar 2024 to Mar 2025	$247,372,928	Individuals and high net worth (94%)
May 2023 to Feb 2024	$200,761,596	Individuals and high net worth (94%)
Apr 2023	$200,761,596	Individuals and high net worth (94%)
Apr 2022 to Mar 2023	$233,890,130	Individuals and high net worth (94%)

4 earlier changes not shown.

Portfolio style

Measured from the filed 13F common-share book for Jun 30, 2026, the newest measured quarter, never from the firm's own description.

Style

Concentrated

The top 10 positions are 89.5% of the book (60%+)

Turnover

Turnover unknown

It needs four straight quarters of measured turnover

Horizon

Short horizon

Value-weighted holding period 3.0 quarters (under 4)

Closest benchmark: every 13F filer's combined book, active share 88.3%; sector active share 83.9% against the combined 13F book's sector weights.

Over time 3 measured quarters

How the bands are measured

Style bands measure the filed 13F common-share book each closed quarter, tested in this order. Unknown: under $10,000,000 of valued equity or 5 stocks. Index-like (100+ stocks): active share of 20% or less against the closest benchmark, which is the S&P 500, S&P MidCap 400, S&P SmallCap 600, Russell 1000, Russell 2000, Nasdaq-100 or Dow Jones Industrial Average (weighted by an index-tracking fund's reported holdings or the index's constituents nearest the quarter end, over the names resolved to companies, and only when those are 90%+ of its weight) or every 13F filer's combined book, or index series holding 80%+ of the registered fund assets it advises (N-CEN) and equal to 50%+ of its book. Systematic-like: 500+ stocks, 100%+ annual turnover and a top 10 weight of 25% or less. Concentrated: a top 10 weight of 60%+ or 12 or fewer effective positions. Diversified active: none of these. Turnover is the smaller of buys and sells over average equity value, summed over four quarters: low under 30%, high 100%+. Horizon is the value-weighted number of quarters each position has been held: short under 4, long 12+.

Clone Performance

Build a hypothetical price-return history from this filer's public 13F holdings.

View clone backtest

Portfolio Concentration

71 tracked positions · as of Sep 30, 2026 · Δ vs Jun 30, 2026

Top Position

37.3%

−0.5 pts

Top 5

75.9%

−0.8 pts

Top 10

89.4%

−0.1 pts

HHI

1,846

Moderately concentrated−35

Portfolio Trend

4 quarters · across all stocks

Sector Breakdown

As of Sep 30, 2026

Sector	% Portfolio	Value	Positions
Unclassified	97.2%	$103,170,846	62
Technology	1.2%	$1,241,750	4
Financial Services	0.6%	$597,070	2
Communication Services	0.5%	$508,550	1
Healthcare	0.3%	$337,867	1
Consumer Cyclical	0.3%	$271,103	1

Last Quarter's Activity

Export CSV

Sep 30, 2026 vs Jun 30, 2026

Added To

Positions the filer increased

25 positions

Ticker	Company	Δ Shares	Shares	Value
FBND	Fidelity Total Bond ETF	+3,728	39,120	$1,693,896
VBIL	Vanguard Institutional Index Funds	+2,228	15,240	$1,153,972
JPST	JPMorgan Ultra-Short Income ETF	+1,265	8,635	$434,944
FVAL	Fidelity Value Factor ETF	+620	10,336	$834,735
VIG	Vanguard Specialized Funds	+601	11,203	$2,613,771
IWR	iShares Russell Mid-Cap ETF	+574	6,306	$672,913
VXUS	Vanguard Total International Stock ETF	+561	3,731	$316,985
XLU	State Street(R) Utilities Select Sector SPDR(R) ETF	+503	6,889	$271,702
DGRO	iShares Core Dividend Growth ETF	+447	7,155	$539,415
VO	VANGUARD MID-CAP INDEX FUND	+445	4,357	$341,675
BSV	VANGUARD SHORT-TERM BOND INDEX FUND	+435	9,721	$742,684
SMMD	iShares Russell 2500 ETF	+329	3,266	$279,308
IXUS	iShares Core MSCI Total International Stock ETF	+283	8,540	$811,214
VTV	VANGUARD VALUE INDEX FUND	+216	5,625	$1,215,450
VB	Vanguard Index Funds	+212	3,571	$1,015,913
QQQ	Invesco Qqq Trust, Series 1	+126	1,210	$895,121
SPYG	State Street(R) SPDR(R) Portfolio S&P 500(R) Growth ETF	+101	1,881	$231,513
VV	VANGUARD LARGE-CAP INDEX FUND	+99	2,060	$724,811
JPM	Jpmorgan Chase & Co	+92	1,044	$345,386
BND	VANGUARD TOTAL BOND MARKET INDEX FUND	+85	20,955	$1,469,993
VCIT	VANGUARD INTERMEDIATE-TERM CORPORATE BOND INDEX FUND	+82	13,862	$1,085,533
AVUS	Avantis U.S. Equity ETF	+35	1,829	$234,276
VT	VANGUARD TOTAL WORLD STOCK INDEX FUND	+21	3,711	$585,781
XLK	State Street(R) Technology Select Sector SPDR(R) ETF	+10	1,341	$262,500
TJX	Tjx Companies Inc	+8	2,049	$271,103
No positions match the current search.

Trimmed

Positions the filer reduced

25 positions

Ticker	Company	Δ Shares	Shares	Value
SCHZ	Schwab U.S. Aggregate Bond ETF	−38,840	484,699	$10,711,847
SCHX	Schwab U.S. Large-Cap ETF	−18,957	408,184	$12,245,520
SCHF	Schwab International Equity ETF	−6,517	131,485	$3,611,892
DFAC	Dimensional U.S. Core Equity 2 ETF	−5,080	4,655	$206,914
FNDF	Schwab Fundamental International Equity ETF	−4,965	110,836	$5,957,435
GBTC	Grayscale Bitcoin Trust ETF	−4,585	13,176	$851,037
SCHV	Schwab U.S. Large-Cap Value ETF	−4,299	43,454	$1,447,452
IONQ	IonQ, Inc.	−4,000	6,000	$263,160
SCHG	Schwab U.S. Large-Cap Growth ETF	−3,750	64,447	$2,315,580
ISTB	iShares Core 1-5 Year USD Bond ETF	−3,350	244,700	$11,562,075
DFAI	Dimensional International Core Equity Market ETF	−2,799	10,817	$448,148
TOTL	State Street(R) DoubleLine(R) Total Return Tactical ETF	−2,625	7,894	$295,393
FNDC	Schwab Fundamental International Small Equity ETF	−2,395	16,156	$805,053
AVLV	Avantis U.S. Large Cap Value ETF	−2,051	49,201	$4,449,738
AVUV	Avantis U.S. Small Cap Value ETF	−1,817	37,293	$4,391,996
DFEM	Dimensional Emerging Markets Core Equity 2 ETF	−1,458	48,494	$1,926,181
DFAR	Dimensional US Real Estate ETF	−1,267	46,698	$1,128,223
SCHC	Schwab International Small-Cap Equity ETF	−1,010	6,972	$346,787
JCPB	JPMorgan Core Plus Bond ETF	−899	15,066	$674,655
DISV	Dimensional International Small Cap Value ETF	−892	25,513	$1,104,457
DFIS	Dimensional International Small Cap ETF	−828	51,007	$1,847,983
FNDE	Schwab Fundamental Emerging Markets Equity ETF	−598	6,552	$274,332
FNDX	Schwab Fundamental U.S. Large Company ETF	−509	43,739	$1,376,466
JQUA	JPMorgan U.S. Quality Factor ETF	−451	62,450	$4,608,810
VCSH	VANGUARD SHORT-TERM CORPORATE BOND INDEX FUND	−409	12,668	$978,603
No positions match the current search.

New Positions

Positions the filer opened this quarter

3 positions

Ticker	Company	Shares	Value
SCHO	Schwab Short-Term U.S. Treasury ETF	10,714	$255,636
SMCI	Super Micro Computer, Inc.	5,000	$205,350
GSLC	Goldman Sachs ActiveBeta(R) U.S. Large Cap Equity ETF	1,406	$203,926
No positions match the current search.

Sold Out

Positions the filer fully exited

3 positions

Ticker	Company	Shares	Value
NEM	NEWMONT Corp	2,412	$225,280
TBIL	F/m US Treasury 3 Month Bill Fund	4,116	$205,223
SMR	NUSCALE POWER Corp	20,201	$202,616
No positions match the current search.

Portfolio Positions

Compact Export CSV View 13F filing

71 tracked positions · $106,127,186 total · filing declares 71 positions · $106,127,564 · as of Sep 30, 2026

All sectors Communication Services Consumer Cyclical Financial Services Healthcare Technology

Showing 1–50 of 71 positions by value · page 1 of 2

Ticker	Company	Type	Shares	Δ Shares	Value (USD)	% Δ Value	% of Portfolio
SCHX	Schwab U.S. Large-Cap ETF	Reduced	408,184	-18,957	$12,245,520	−2.6%	11.54%
ISTB	iShares Core 1-5 Year USD Bond ETF	Reduced	244,700	-3,350	$11,562,075	−3.4%	10.89%
SCHZ	Schwab U.S. Aggregate Bond ETF	Reduced	484,699	-38,840	$10,711,847	−11.5%	10.09%
FNDF	Schwab Fundamental International Equity ETF	Reduced	110,836	-4,965	$5,957,435	−2.5%	5.61%
JQUA	JPMorgan U.S. Quality Factor ETF	Reduced	62,450	-451	$4,608,810	+1.4%	4.34%
AVLV	Avantis U.S. Large Cap Value ETF	Reduced	49,201	-2,051	$4,449,738	−4.8%	4.19%
AVUV	Avantis U.S. Small Cap Value ETF	Reduced	37,293	-1,817	$4,391,996	−10.0%	4.14%
SCHF	Schwab International Equity ETF	Reduced	131,485	-6,517	$3,611,892	−5.5%	3.40%
VIG	Vanguard Specialized Funds	Added	11,203	+601	$2,613,771	+4.2%	2.46%
VUG	VANGUARD GROWTH INDEX FUND	Reduced	28,378	-45	$2,557,141	+4.4%	2.41%
VBK	VANGUARD SMALL-CAP GROWTH INDEX FUND	Reduced	7,518	-260	$2,539,805	−10.7%	2.39%
SCHG	Schwab U.S. Large-Cap Growth ETF	Reduced	64,447	-3,750	$2,315,580	+0.3%	2.18%
DFEM	Dimensional Emerging Markets Core Equity 2 ETF	Reduced	48,494	-1,458	$1,926,181	−5.1%	1.81%
DFIS	Dimensional International Small Cap ETF	Reduced	51,007	-828	$1,847,983	+1.8%	1.74%
FBND	Fidelity Total Bond ETF	Added	39,120	+3,728	$1,693,896	+5.2%	1.60%
BND	VANGUARD TOTAL BOND MARKET INDEX FUND	Added	20,955	+85	$1,469,993	−4.1%	1.39%
SCHV	Schwab U.S. Large-Cap Value ETF	Reduced	43,454	-4,299	$1,447,452	−12.9%	1.36%
FNDX	Schwab Fundamental U.S. Large Company ETF	Reduced	43,739	-509	$1,376,466	+0.0%	1.30%
VTV	VANGUARD VALUE INDEX FUND	Added	5,625	+216	$1,215,450	+3.1%	1.15%
VBIL	Vanguard Institutional Index Funds	Added	15,240	+2,228	$1,153,972	+17.2%	1.09%
DFAR	Dimensional US Real Estate ETF	Reduced	46,698	-1,267	$1,128,223	−10.1%	1.06%
DISV	Dimensional International Small Cap Value ETF	Reduced	25,513	-892	$1,104,457	+4.2%	1.04%
VCIT	VANGUARD INTERMEDIATE-TERM CORPORATE BOND INDEX FUND	Added	13,862	+82	$1,085,533	−4.7%	1.02%
VB	Vanguard Index Funds	Added	3,571	+212	$1,015,913	−0.2%	0.96%
VBR	VANGUARD SMALL-CAP VALUE INDEX FUND	Reduced	4,324	-295	$998,973	−11.0%	0.94%
VCSH	VANGUARD SHORT-TERM CORPORATE BOND INDEX FUND	Reduced	12,668	-409	$978,603	−5.3%	0.92%
QQQ	Invesco Qqq Trust, Series 1	Added	1,210	+126	$895,121	+12.1%	0.84%
GBTC	Grayscale Bitcoin Trust ETF	Reduced	13,176	-4,585	$851,037	+5.3%	0.80%
FVAL	Fidelity Value Factor ETF	Added	10,336	+620	$834,735	+10.2%	0.79%
SOXX	iShares Semiconductor ETF	Reduced	1,428	-82	$812,017	−16.1%	0.77%
IXUS	iShares Core MSCI Total International Stock ETF	Added	8,540	+283	$811,214	+2.9%	0.76%
FNDC	Schwab Fundamental International Small Equity ETF	Reduced	16,156	-2,395	$805,053	−10.6%	0.76%
VOO	VANGUARD 500 INDEX FUND	Reduced	1,134	-151	$794,775	−9.9%	0.75%
BSV	VANGUARD SHORT-TERM BOND INDEX FUND	Added	9,721	+435	$742,684	+2.7%	0.70%
VV	VANGUARD LARGE-CAP INDEX FUND	Added	2,060	+99	$724,811	+7.5%	0.68%
JCPB	JPMorgan Core Plus Bond ETF	Reduced	15,066	-899	$674,655	−10.0%	0.64%
SPY	Spdr S&P 500 ETF Trust	Added	884	+8	$674,164	+3.1%	0.64%
IWR	iShares Russell Mid-Cap ETF	Added	6,306	+574	$672,913	+6.4%	0.63%
VIGI	Vanguard Whitehall Funds	Reduced	6,577	-112	$621,000	−0.6%	0.59%
VT	VANGUARD TOTAL WORLD STOCK INDEX FUND	Added	3,711	+21	$585,781	+1.1%	0.55%
DGRO	iShares Core Dividend Growth ETF	Added	7,155	+447	$539,415	+6.1%	0.51%
GOOGL	Alphabet Inc. Communication Services	Reduced	1,478	-315	$508,550	−20.6%	0.48%
AAPL	Apple Inc. Technology	Reduced	1,424	-40	$474,220	+11.9%	0.45%
DFAI	Dimensional International Core Equity Market ETF	Reduced	10,817	-2,799	$448,148	−20.2%	0.42%
JPST	JPMorgan Ultra-Short Income ETF	Added	8,635	+1,265	$434,944	+16.7%	0.41%
SCHC	Schwab International Small-Cap Equity ETF	Reduced	6,972	-1,010	$346,787	−9.7%	0.33%
JPM	Jpmorgan Chase & Co Financial Services	Added	1,044	+92	$345,386	+10.8%	0.33%
VO	VANGUARD MID-CAP INDEX FUND	Added	4,357	+445	$341,675	+8.4%	0.32%
LLY	ELI LILLY & Co Healthcare	Reduced	292	-8	$337,867	−6.1%	0.32%
VYM	VANGUARD HIGH DIVIDEND YIELD INDEX FUND	Added	2,172	+2	$337,094	−1.7%	0.32%

Showing the top 50 of 71 positions. Create a free account to see every position, past quarters, search, filters and CSV export.

Covers the securities this platform tracks: U.S.-listed common stock and the put/call positions reported on it. A 13F can also report security types outside that coverage — preferred shares, bonds, warrants, untracked share classes — so the filing's own declared total can exceed the figures above. The source filing is linked at the top of this table.