Ballew Advisors Inc
- Regulatory AUM
- $1.3B
- Discretionary
- $1.3B
- Clients
- 971
- Avg AUM / client
- $1.3M
- Accounts
- 1,815
- Employees
- 11
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Mar 03, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 818 | $482M | 37.2% |
| High net worth individuals | 35 | $148M | 11.4% |
| Pension and profit sharing plans | 97 | $629M | 48.5% |
| Charitable organizations | 2 | $812K | 0.06% |
| Corporations and other businesses | 19 | $36.0M | 2.78% |
Private funds (1)
Reported in Form ADV Section 7.B.(1), filing of Mar 2024 · $8.9M combined gross assets
| Fund | Type | Domicile | Gross assets | Owners |
|---|---|---|---|---|
| Consilium Capital Fund, Lp | Other Private Fund | Delaware | $8.9M | 19 |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
People (9)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Clyde Brooks Mosley | Chief Executive Officer/Chief Compliance Officer/President/Director | Jul 1997 (29y) | 25% – 50% | |
| Thomas Douglas Dale | Corporate Secretary | Jul 1997 (29y) | Less than 5% | |
| Mcnulty, Patrick, W | Chief Operations Officer/Director | Jan 2000 (27y) | Less than 5% | |
| James Albert Hurt | Registered representative | Chartered Financial Consultant | Jul 1997 (29y) | |
| Alan Patrick Mccormick | Registered representative | CFP | Oct 2006 (20y) | |
| Robert Scott Rives | Registered representative | Jan 2007 (20y) | ||
| Sherry Mitchener Mosley | Registered representative | Aug 2023 (3y) | ||
| Karl Edgar Byrd | Registered representative | CFP | Jan 2026 (1y) | |
| Samuel Thomas Mosley | Registered representative | May 2026 (0y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Security Ballew, Inc. | Parent Company/Sole Shareholder | Jun 1988 | A | 75% or more |
| S B Holding Company, Inc. | Sole Shareholder Of Security Ballew, Inc. | Jan 2005 | B | ≈ 56.25% – 100% via Security Ballew, Inc. |
Estimated effective ownership (look-through of filed bands):
- S B Holding Company, Inc.: 75% – 100% of Security Ballew, Inc. × 75% – 100% direct ≈ 56.25% – 100% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Private funds (1, $8.9M gross assets)
| Fund | Type | Gross assets | Min. investment | Owners |
|---|---|---|---|---|
| Consilium Capital Fund, Lp | Other Private Fund | $8.9M | $250K | 19 |
From Form ADV Section 7.B private fund reporting.
Retirement plans served (15)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Profit Sharing Retirement Plan Of Harold Gwatney Chevrolet Company | Harold Gwatney Chevrolet Company | 0 | $0 | 01/01/2024 |
| Methodist Retirement Communities & Its Affiliated Organizations Associates 401(k) Plan | Methodist Retirement Communities | 873 | $12.1M | 01/01/2024 |
| Neel Schaffer Engineers And Planners, Inc. 401(k) Plan And Trust | Neel Schaffer Engineers & Planners, Inc. | 603 | $96.2M | 01/01/2024 |
| Atlas Ssi, Inc. 401(k) Savings Plan | Atlas Ssi, Inc. | 213 | $7.1M | 01/01/2024 |
| White Construction Company 401 K Plan | Charles N White Construction Co | 128 | $17.5M | 01/01/2024 |
| Mcneely Plastic Products, Inc. Retirement Plan | Mcneely Plastic Products, Inc. | 196 | $9.5M | 01/01/2024 |
| Southern Ionics Incorporated 401(k) Profit Sharing Plan | Southern Ionics Incorporated | 346 | $78.1M | 01/01/2024 |
| Morgan White Group, Inc. 401(k) Profit Sharing Plan | Morgan White Group, Inc. | 318 | $20.0M | 01/01/2024 |
| C&C Fp Holdings, Llc 401(k) Plan | C&C Fp Holdings, Llc | 111 | $738K | 01/01/2024 |
| Claw Forestry Services 401(k) Savings Plan | Claw Forestry Services, Llc | 136 | $4.3M | 01/01/2024 |
| Ram Partners, Llc 401(k) Retirement Savings Plan | Ram Partners, Llc | 1,941 | $25.3M | 01/01/2024 |
| Rogers Dabbs Chevrolet, Inc. 401(k) Plan | Rogers Dabbs Chevrolet, Inc. | 101 | $3.9M | 01/01/2024 |
| Ms Tc Llc 401(k) Profit Sharing Plan And Trust | Ms Tc Llc | 213 | $3.5M | 01/01/2024 |
| Elite 401(k) Plan | Ballew Wealth Management, Inc. | 249 | $8.6M | 01/01/2024 |
| Lyle Machinery Company 401(k) Retirement Plan | Lyle Machinery Company | 0 | $0 | 01/01/2020 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/03/2026 | 985 KB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Other fees
- • SEE SCHEDULE D - MISCELLANEOUS
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
- • Pension consulting services
- • Publication of periodicals or newsletters
Custody
Reported custodians
- National Financial Services (Fidelity) $1.1B (97% of AUM) Mar 2025
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 03, 2026.
View current Form ADV (SEC/IAPD) ↗