Roy Rumbley
Ballast Wealth · Birmingham, Alabama
Roy Rumbley is a fee-only financial advisor at Ballast Wealth in Birmingham, Alabama. Ballast Wealth reports charging a percentage of assets on its Form ADV.
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Facts
| Firm | Ballast Wealth |
|---|---|
| Based in | Birmingham, Alabama |
| Fee model (firm's Form ADV) | Percentage of assets |
| Assets under management | $40M across 135 accounts |
| SEC registration | Investment adviser representative in AL · CRD 4800237 |
| Exams passed | Series 66 (2004) |
| Firm size | 2 employees |
| Disclosures | None reported |
How Roy's firm compares
- Ballast Wealth's average account is about $296,000, from its Form ADV (assets managed divided by 135 accounts).
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Questions about Roy
Is Roy Rumbley a fee-only financial advisor?
Yes, according to SEC records as of October 29, 2026: Roy holds no broker registration, and Ballast Wealth reports no commissions, no broker-dealer, and no insurance sales or affiliated insurance agency on its Form ADV.
How does Roy charge for financial advice?
Roy's firm, Ballast Wealth, reports charging a percentage of assets on its SEC Form ADV.
Where is Roy Rumbley based?
Roy Rumbley is based in Birmingham, Alabama.
Is Roy Rumbley registered with the SEC?
Yes. Roy Rumbley is registered as an investment adviser representative in AL (CRD 4800237), per SEC Investment Adviser Public Disclosure data as of October 29, 2026.
How much does Ballast Wealth manage?
Ballast Wealth reports $40M across 135 accounts in assets under management.
How do I contact Roy Rumbley?
Contact details aren't on file yet. Search for Ballast Wealth.
What these terms mean: fee-only · fiduciary · CFP · CRD number · all terms
Where this information comes from
- SEC adviser records : the firm's Form ADV reports no commissions, no broker-dealer, and no insurance sales or affiliated insurance agency, and the advisor holds no broker registration
- SEC Investment Adviser Public Disclosure : registration, exams, and the firm's Form ADV, data as of October 29, 2026
- Directory listing last checked October 30, 2026.
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