Ballast Asset Management, Lp
- Regulatory AUM
- $221M
- Discretionary
- $221M
- Clients
- 1
- Avg AUM / client
- $221M
- Accounts
- 2
- Employees
- 5
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Jul 09, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Investment companies | 1 | $153M | 69.3% |
| Pension and profit sharing plans | Fewer than 5 | $67.8M | 30.7% |
People (6)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Small, Ryan, Martin | Manager And Member | Oct 2012 (14y) | ≈ 0% – 3.75% via Inverdale Capital Management, Llc | |
| Hardy, William, Guerdan | Chief Financial Officer And Cco | Jan 2017 (10y) | ≈ 0% – 2.5% via Inverdale Capital Management, Llc | |
| Ragen R Stienke | Managing Partner | CFA | Sep 2020 (6y) | 75% or more |
| Kennedy, Stefanie | Cco | Mar 2022 (4y) | Less than 5% | |
| Fogarty, Thomas, W | Co Portfolio Manager | May 2023 (3y) | 10% – 25% | |
| Singhania, Jai, Krishna | Co Portfolio Manager | May 2023 (3y) | 10% – 25% |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Inverdale Capital Management, Llc | General Partner | Sep 2020 | A | Less than 5% |
Undisclosed: 0% – 5% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Small, Ryan, Martin: 50% – 75% of Inverdale Capital Management, Llc × 0% – 5% direct ≈ 0% – 3.75% of the firm
- Hardy, William, Guerdan: 25% – 50% of Inverdale Capital Management, Llc × 0% – 5% direct ≈ 0% – 2.5% 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.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 07/09/2026 | 981 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
Services
- • Portfolio management for individuals/small businesses
- • Portfolio management for investment companies
- • Portfolio management for businesses/institutional clients
Custody
Reported custodians
- BNY Mellon $67.8M (31% of AUM) Jul 2026
- Charles Schwab & Co. $1.0M (2% of AUM) Sep 2023
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: Jul 09, 2026.
View current Form ADV (SEC/IAPD) ↗