Ball & Company (Thousand Oaks)

Name: Ball & Company
Address: 1000 Newbury Road, Thousand Oaks, CA, 91320
Telephone: 805-376-2779

Ball & Company is a large advisory firm based in Thousand Oaks. It manages $151.07 million of regulatory assets for 442 client accounts. It has been registered with the SEC as an adviser since 2018 and has operated in the jurisdictions of California, Oregon, Texas, and Washington.

Ball & Company provides financial planning services, portfolio management for individuals and small businesses, portfolio management for businesses and institutional clients, and pension consulting services. It prepares financial plans for more than 50 clients. On top of advisory services, the firm doesn't engage in other business activities.

Ball & Company: assets under management

The assets under management (AUM) of Ball & Company is $151.07 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 1% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $151.07 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $341.8 thousand each.

Investments

The firm invests in exchange traded securities the most. They account for 43% of the total AUM. The second-largest asset type is investment grade corporate bonds, which make up 25% of the firm’s portfolio. Investments in investment and business development companies form 20% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Ball & Company for their services and products based on a percentage of assets under management, hourly charges, and fixed fees. Hourly charges are usually charged for consulting work and special projects. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Jason Lindsay Ball serves?

The firm provides services to individuals and high net worth individuals. The largest group of clients of Jason Lindsay Ball is high net worth individuals with 47 clients and $105.5 million of assets under management. Among the 8 most similar advisory firms, Ball & Company has the 4th highest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $151.07 million for 183 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

Ball & Company doesn't advise any private funds.

Careers at Ball & Company

The company employs 5 people that are either part- or full-time employees. 40 percent of the employees work as investment advisers or researchers. 2 employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Jason Lindsay Ball	President/ceo	1 Jan 2004	75% - 100%	2769170
Jason Lindsay Ball	Chief compliance officer	1 Nov 2016	50% - 75%	2769170

Based in Thousand Oaks

The principal office where Ball & Company performs its advisory services is located at 1000 Newbury Road, Thousand Oaks, CA 91320, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 805-376-2779 or by fax 805-435-3710. The normal business hours are 7:00 a.m. - 1:45 p.m. on Monday - Friday. You can find more information about the New York firm at facebook.com/ballcowealthmanagement/.