{"url":"https://nivawealth.com/firms/ballyrock-investment-advisors-115324","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/115324","regulatoryAum":10994891542,"crd":"115324","secFileNumber":"801-60583","legalName":"Ballyrock Investment Advisors LLC","displayName":"Ballyrock Investment Advisors","website":null,"founded":null,"organization":"Delaware limited liability company","fiscalYearEnd":"December","headquarters":{"street":"245 Summer Street","city":"Boston","state":"MA","stateName":"Massachusetts","country":"United States","postalCode":"02210"},"tradeNames":[],"registration":{"secApproved":"20 September 2001","noticeFilings":null,"latestNoticeFiling":null},"staff":{"employees":5,"advisory":3,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"discretionary":10994891542,"discretionaryAccounts":24,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":100,"nonAumClients":0},"clientTypes":[{"label":"Pooled investment vehicles","clients":24,"regulatoryAum":10994891542}],"fees":[],"feeNotes":[],"custodians":[],"custodyNote":"Ballyrock Investment Advisors does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Lionel Harris","title":"Vice President, Director","crd":"7359664"},{"name":"Harley Lank","title":"Director, President, Head of High Income","crd":"4451403"},{"name":"Mark Mollenhauer","title":"Vice President","crd":"2395658"},{"name":"Kevin Nielsen","title":"Vice President","crd":"6942894"},{"name":"Chandler Perine","title":"Vice President","crd":"7646120"},{"name":"Christopher Quinlan","title":"Chief Operating Officer","crd":"2443036"},{"name":"Stephanie Brown","title":"Chief Compliance Officer","crd":"7690144"},{"name":"David Carter","title":"Compliance Officer","crd":"8314999"},{"name":"Bart Grenier","title":"Head of Asset Management","crd":"4451384"},{"name":"Christopher Rimmer","title":"Head of Asset Management Finance, Treasurer","crd":"4770358"}],"ownership":[{"label":"FMR LLC","detail":"Member in the 75% or more ownership band and a control person, since January 2007."},{"label":"Abigail Johnson","detail":"Indirect owner: elected manager of FMR LLC and a control person, since May 1994.","parent":"FMR LLC"},{"label":"Edward Johnson IV","detail":"Indirect owner: elected manager of FMR LLC and a control person, since April 2006.","parent":"FMR LLC"},{"label":"Michael Wilens","detail":"Indirect owner: elected manager of FMR LLC and a control person, since October 2014.","parent":"FMR LLC"},{"label":"Stephen Neff","detail":"Indirect owner: elected manager of FMR LLC and a control person, since April 2023.","parent":"FMR LLC"}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"officesByState":[{"state":"Massachusetts","offices":1,"addresses":[{"street":"245 Summer Street","city":"Boston","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"617-563-7000","stateRegisteredReps":0,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Performance-based fees","Other"],"activities":["Portfolio management for pooled investment vehicles (other than investment companies)"],"financialPlanningClients":null,"assetMix":[],"privateFunds":24},"sources":{"adv1FilingDate":"30 July 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/115324/PDF/115324.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Ballyrock Investment Advisors have?","answer":"Ballyrock Investment Advisors has 24 clients and manages $11 billion for them, as of July 2026.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 30 July 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Ballyrock Investment Advisors offer?","answer":"Ballyrock Investment Advisors provides portfolio management for pooled vehicles.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How many financial advisors does Ballyrock Investment Advisors have?","answer":"Ballyrock Investment Advisors has 0 investment adviser representatives registered with state securities authorities, out of 5 employees, and 3 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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Ballyrock Investment Advisors?","answer":"Ballyrock Investment Advisors’ direct owner is FMR LLC (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 30 July 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Ballyrock Investment Advisors get paid?","answer":"Ballyrock Investment Advisors is paid through a percentage of assets under management, performance-based fees and other arrangements. Its Form ADV lists no commissions among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva Wealth is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}