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Ballheim Financial LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Total assets under management
$32,321,081
Total clients
37
46% high-net worth
Total advisors
1
of 1 employees
Firm size
Independent
1 advisor
Average clients per advisor
37
Average account size
$873,543
About
Ballheim Financial LLC provides investment supervisory services and financial planning to individuals, high‑net‑worth individuals, and pension and profit‑sharing plans. The firm’s services include ongoing portfolio management, retirement plan administration, and advice on insurance products such as annuities, life, long‑term care and disability insurance.
Ballheim documents client objectives and constraints through an Investment Policy Statement for each client and generally pursues a long‑term trading strategy while allowing short‑term trades when requested. The firm uses tools such as Morningstar reports and Riskalyze in its analysis, typically operates with discretionary trading authority, and delivers monthly account reports through the custodian.
Compared with many small independent advisers, Ballheim explicitly offers retirement plan administration and a range of insurance product solutions, and it maintains multiple client‑facing websites listed in the brochure. The firm also requires use of a firm‑recommended custodian for execution and documents training and educational elements in its Code of Ethics, reflecting a structured approach to client communications and compliance that is not universal among peers.
Client services
Financial planning
Portfolio management
Pension consulting
Newsletters or periodicals
Educational seminars or workshops
Expertise
General retirement planning
Life insurance needs analysis
Fee options
Financial planning fixed fees range from $500 to $1,000
$1 - $200,000: 1.55% $200,001 - $400,000: 1.40% $400,000 - $1,000,000: 1.30% $1,000,000+: 1.00%
$100.00 per hour
Account minimum: $100,000 (may be waived)
Main office location
Ballheim Financial LLC
Leclaire IA, United States
Number of offices
1
Most active in
Ballheim Financial LLC has reported serving >5 clients in these states in the last 12 months.
Iowa
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Is not active or affiliated with:
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
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