Ballew Advisors is a SEC-registered investment adviser with its principal place of business located in Jackson,
Mississippi. Ballew Advisors began conducting business in 1991 and is owned by S B Holding Company, Inc.
through the intermediate subsidiary Security Ballew, Inc. (also known as Ballew Wealth Management).
Ballew Advisors offers the following advisory services to our clients:
Investment Supervisory Services ("ISS")
Our firm provides continuous advice to clients regarding the investment of client funds based on the individual
needs of the client. Through personal discussions in which goals and objectives based on a client's particular
circumstances are established, we develop a client's personal investment strategy. During our data-gathering
process, we determine the client’s individual objectives, time horizons, risk tolerance, and liquidity needs. As
appropriate, we also review and discuss a client's prior investment history, as well as family composition and
background.
We manage these advisory accounts on a discretionary basis. Account supervision is guided by the client's
stated objectives and risk tolerance, as well as tax considerations.
Clients may impose reasonable restrictions on investing in certain securities, types of securities, or industry
sectors.
Our investment advice is not limited to any specific product or service offered by a broker-dealer or insurance
company and will generally include advice regarding the following:
• Mutual Fund Shares
• Exchange Traded Funds
• Exchange-listed securities
• Securities traded over-the-counter
• Foreign issuers
• Warrants
• Corporate debt securities (other than commercial paper)
• Commercial paper
• Certificates of deposit
• United States governmental securities
Retirement Plan Advisory Services
The primary clients for Retirement Plan Advisory Services are pension, profit sharing and 401(k) plans.
Retirement Plan Advisory Services are comprised of the following distinct services. Clients may choose to use
any or all of these services.
Investment Policy: We will meet with the client (in person or over the telephone) to determine an appropriate
investment strategy that reflects the plan sponsor's stated investment objectives for management of the
overall plan.
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Selection of Investment Vehicles: We assist plan sponsors in constructing appropriate asset allocations.
The
number of investments to be recommended will be determined by the client.
Monitoring of Investment Performance: We monitor client investments on an ongoing basis. We supervise the
client's portfolio and will make recommendations to the client as market factors and the client's needs dictate.
Employee Communications: We provide plan participant advice on an ongoing basis with recommendations as
to asset allocation among investment fund options, fund managers and investment management style of
investment options.
Financial Planning/Social Security Consulting
Less than 5% of our business consists of financial planning/social security consulting services. As part of the
planning process, we gather required information through in-depth personal interviews. Information gathered
includes the client's current financial status, tax status, future goals, objectives and attitudes towards risk. We
carefully review documents supplied by the client and prepare a written broad-based plan.
In general, the plan can address any or all of the following areas: income tax planning, life and disability
insurance planning, estate planning, retirement planning, children's education planning, cash flow and
investment planning.
Depending upon any changes in a client's situation after delivery of a written plan, there may be investment
advice rendered which is incidental advice rather that advice by way of a written plan. These services may or
may not necessarily involve securities.
Recommendations are not limited to any specific product or service offered by a broker-dealer or insurance
company. All recommendations are of a generic nature.
Publication of Periodicals
Ballew Advisors publishes a monthly newsletter providing general information on various financial topics
including, but not limited to, state of the economy, market trends, etc. No specific investment
recommendations are provided in this newsletter and the information provided does not purport to meet the
objectives or needs of any individual. This newsletter is distributed free of charge to our advisory clients and
prospective clients.
Amount of Managed Assets
As of December 31, 2023, we were actively managing $1,034,201,508 of clients' assets on a discretionary basis
and $8,902,220 of clients' assets on a non-discretionary basis plus $8,902,220 of clients’ assets in the Private
Fund, Consilium.
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