Ball & Company Wealth Management provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, and pension consulting. Financial planning was provided to 51–100 clients last fiscal year.
Ball & Company Wealth Management reports 154 clients. They include 89 individual clients, 58 high-net-worth individuals, and 7 pension and profit-sharing plans. Of its assets, 100.0% ($203M across 450 accounts) are managed with discretion.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 58% | 18% |
| High-net-worth individuals | 38% | 78% |
| Pension and profit-sharing plans | 5% | 3% |
| Corporations and other businesses | Fewer than 5 | <1% |
Client shares use reported counts. Client types without a reported count are excluded from that total.
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 89 | $37.4M | 18.4% | $420K |
| High-net-worth individuals | 58 | $159M | 78.3% | $2.74M |
| Pension and profit-sharing plans | 7 | $6.5M | 3.2% | $928K |
| Corporations and other businesses | Fewer than 5 | $54.8K | 0.0% | — |
| Total | 154 | $203M | 100% | — |
- Clients
- 89
- Regulatory AUM
- $37.4M
- AUM share
- 18.4%
- Avg. per client
- $420K
- Clients
- 58
- Regulatory AUM
- $159M
- AUM share
- 78.3%
- Avg. per client
- $2.74M
- Clients
- 7
- Regulatory AUM
- $6.5M
- AUM share
- 3.2%
- Avg. per client
- $928K
- Clients
- Fewer than 5
- Regulatory AUM
- $54.8K
- AUM share
- 0.0%
- Avg. per client
- —
Total
- Clients
- 154
- Regulatory AUM
- $203M
- AUM share
- 100%
- Avg. per client
- —
- Clients outside the U.S.
- 0%
- Clients advised without assets under management last fiscal year
- 0
- Private funds advised
- 0
- Financial planning clients last fiscal year
- 51–100
Ball & Company Wealth Management is paid through a percentage of assets under management, hourly charges and fixed fees (other than subscription fees). The reviewed brochures do not disclose an asset-based fee rate. Read the SEC-filed brochure. The brochure also prices one other service, listed under fee details.
Fee details and sources
Other fees
- Financial Planning and Consulting
- Financial planning and consulting are billed as a negotiable fixed fee of $3,500 to $10,000, or hourly at $200 to $250.
Jason Ball owns 75% or more of Ball & Company Wealth Management. The leadership team of Ball & Company Wealth Management includes President Jason Ball. It has 4 employees, 2 of them in advisory roles.
Staff
- 4 employees
- 2 in advisory functions
- 2 state-registered reps
- Owns 75% or more of Ball & Company Wealth Management, Inc.
Jason Ball
Control person · since January 2004
Ball & Company Wealth Management’s regulatory assets grew from $166M (March 2021) to $203M (February 2026); clients were 154 in both filings and employees were 4 in both filings.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | StaffEmployees | Offices |
|---|---|---|---|---|
| Feb 2026February 2026 | $203M | 154 | 4 | 1 |
| Feb 2025February 2025 | $191M | 167 | 4 | 1 |
| Feb 2024February 2024 | $175M | 162 | 4 | 1 |
| Feb 2023February 2023 | $171M | 162 | 4 | 1 |
| Feb 2022February 2022 | $182M | 157 | 4 | 1 |
| Mar 2021March 2021 | $166M | 157 | 4 | 1 |
Besides its headquarters, Ball & Company Wealth Management has 0 offices, with 1 listed address with no US state reported.
Contact and registration details
- Legal name
- Ball & Company Wealth Management, Inc.
- Headquarters
- Not reported
- Website
- ballandcompany.com
- Phone
- 805-376-2779
- SEC file
- 801-78146
- Structure
- Tennessee corporation
- Fiscal year end
- December
Ball & Company Wealth Management’s named custodian for separately managed accounts is Fidelity ($203M). Ball & Company Wealth Management does not have custody of client assets.
- FidelityNational Financial Services LLC · Boston, MA · $203M100%
At year end, Ball & Company Wealth Management’s separately managed accounts were mostly in stocks (78%) and funds (12%).
What the accounts hold
- Stocks78%
- Funds12%
- Cash10%
How many clients does Ball & Company Wealth Management have?
Ball & Company Wealth Management has 154 clients and manages $203 million for them, as of February 2026. They include 89 individual clients, 58 high-net-worth individuals, and 7 pension and profit-sharing plans.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 4 February 2026
What services does Ball & Company Wealth Management offer?
Ball & Company Wealth Management provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, and pension consulting.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file
Which custodians does Ball & Company Wealth Management use?
Ball & Company Wealth Management’s separately managed account assets are held at National Financial Services LLC (Boston, MA), with $203M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 4 February 2026
How many financial advisors does Ball & Company Wealth Management have?
Ball & Company Wealth Management has 2 investment adviser representatives registered with state securities authorities, out of 4 employees, and 2 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.
Source: Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file
What does Ball & Company Wealth Management invest in?
At the end of its last fiscal year, Ball & Company Wealth Management’s separately managed accounts held 78% exchange-traded equities, 12% registered funds (mutual funds, ETFs, BDCs) and 10% cash and equivalents.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns Ball & Company Wealth Management?
Ball & Company Wealth Management’s direct owner is Jason Ball (75% or more).
Source: Form ADV Part 1A, Schedules A and B, filed 4 February 2026
How does Ball & Company Wealth Management get paid?
Ball & Company Wealth Management is paid through a percentage of assets under management, hourly charges and fixed fees. Its Form ADV lists no commissions or performance-based fees among how it is paid.
Source: Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file
How do I contact Ball & Company Wealth Management?
Its phone number is 805-376-2779. Its website is ballandcompany.com.
