Managing Partner

0001398344-20-014605.txt : 20200729 0001398344-20-014605.hdr.sgml : 20200729 20200729151327 ACCESSION NUMBER: 0001398344-20-014605 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20200331 FILED AS OF DATE: 20200729 DATE AS OF CHANGE: 20200729 EFFECTIVENESS DATE: 20200729 FILER: COMPANY DATA: COMPANY CONFORMED NAME: BALLAST ADVISORS LLC CENTRAL INDEX KEY: 0001803415 IRS NUMBER: 815217330 STATE OF INCORPORATION: MN FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR/A SEC ACT: 1934 Act SEC FILE NUMBER: 028-20071 FILM NUMBER: 201057100 BUSINESS ADDRESS: STREET 1: 683 BIELENBERG DRIVE STREET 2: SUITE 208 CITY: WOODBURY STATE: MN ZIP: 55125-1705 BUSINESS PHONE: 651-478-4644 MAIL ADDRESS: STREET 1: 683 BIELENBERG DRIVE STREET 2: SUITE 208 CITY: WOODBURY STATE: MN ZIP: 55125-1705 13F-HR/A 1 primary_doc.xml 13F-HR/A LIVE false false false 0001803415 XXXXXXXX 03-31-2020 03-31-2020 true 1 RESTATEMENT false BALLAST ADVISORS LLC

683 BIELENBERG DRIVE SUITE 208 WOODBURY MN 55125-1705

13F HOLDINGS REPORT 028-20071 N Richard Gerczak Managing Partner 651-200-3110 /s/ Richard Gerczak Arden Hills MN 07-28-2020 0 155 106301 INFORMATION TABLE 2 fp0052734_13fhra-table.xml 13F INFORMATION TABLE 3M CO COM 88579Y101 2261 16566 SH SOLE 16566 0 0 ABBOTT LABS COM 002824100 214 2713 SH SOLE 2713 0 0 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 256 1566 SH SOLE 1566 0 0 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 2082 10705 SH SOLE 10705 0 0 ALPHABET INC CAP STK CL C 02079K107 414 356 SH SOLE 356 0 0 ALPHABET INC CAP STK CL A 02079K305 706 608 SH SOLE 608 0 0 ALPS ETF TR ALERIAN MLP 00162Q866 184 53397 SH SOLE 53397 0 0 AMAZON COM INC COM 023135106 1217 624 SH SOLE 624 0 0 AMERICAN TOWER CORP NEW COM 03027X100 223 1025 SH SOLE 1025 0 0 AMGEN INC COM 031162100 380 1873 SH SOLE 1873 0 0 ANNALY CAPITAL MANAGEMENT IN COM 035710409 129 25387 SH SOLE 25387 0 0 APPLE INC COM 037833100 8454 33247 SH SOLE 33247 0 0 AT&T INC COM 00206R102 486 16662 SH SOLE 16662 0 0 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 1517 8299 SH SOLE 8299 0 0 BLACKSTONE GROUP INC COM CL A 09260D107 1799 39476 SH SOLE 39476 0 0 BRIDGEWATER BANCSHARES INC COM ACCD INV 108621103 254 26100 SH SOLE 26100 0 0 CANADIAN PAC RY LTD COM 13645T100 503 2289 SH SOLE 2289 0 0 CATERPILLAR INC DEL COM 149123101 431 3715 SH SOLE 3715 0 0 CHEVRON CORP NEW COM 166764100 480 6624 SH SOLE 6624 0 0 CISCO SYS INC COM 17275R102 334 8496 SH SOLE 8496 0 0 COCA COLA CO COM 191216100 379 8562 SH SOLE 8562 0 0 CVS HEALTH CORP COM 126650100 346 5836 SH SOLE 5836 0 0 EXXON MOBIL CORP COM 30231G102 243 6410 SH SOLE 6410 0 0 FORD MTR CO DEL COM 345370860 88 18183 SH SOLE 18183 0 0 GENERAL ELECTRIC CO COM 369604103 102 12858 SH SOLE 12858 0 0 HOME DEPOT INC COM 437076102 224 1201 SH SOLE 1201 0 0 HONEYWELL INTL INC COM 438516106 404 3022 SH SOLE 3022 0 0 INTEL CORP COM 458140100 359 6632 SH SOLE 6632 0 0 INTERNATIONAL BUSINESS MACHS COM 459200101 370 3334 SH SOLE 3334 0 0 INVESCO EXCHANGE-TRADED FD T S&P500 LOW VOL 46138E354 208 4435 SH SOLE 4435 0 0 INVESCO EXCHANGE-TRADED FD T PFD ETF 46138E511 5 373 SH SOLE 373 0 0 INVESCO EXCHANGE-TRADED FD T EMRNG MKT SVRG 46138E784 57 2368 SH SOLE 2368 0 0 ISHARES TR SELECT DIVID ETF 464287168 36 487 SH SOLE 487 0 0 ISHARES TR TIPS BD ETF 464287176 449 3805 SH SOLE 3805 0 0 ISHARES TR CORE S&P500 ETF 464287200 827 3200 SH SOLE 3200 0 0 ISHARES TR CORE US AGGBD ET 464287226 1314 11393 SH SOLE 11393 0 0 ISHARES TR MSCI EMG MKT ETF 464287234 4 119 SH SOLE 119 0 0 ISHARES TR IBOXX INV CP ETF 464287242 156 1266 SH SOLE 1266 0 0 ISHARES TR S&P 500 GRWT ETF 464287309 50 301 SH SOLE 301 0 0 ISHARES TR S&P 500 VAL ETF 464287408 74 766 SH SOLE 766 0 0 ISHARES TR 20 YR TR BD ETF 464287432 5 30 SH SOLE 30 0 0 ISHARES TR BARCLAYS 7 10 YR 464287440 110 903 SH SOLE 903 0 0 ISHARES TR 1 3 YR TREAS BD 464287457 217 2498 SH SOLE 2498 0 0 ISHARES TR MSCI EAFE ETF 464287465 329 6147 SH SOLE 6147 0 0 ISHARES TR RUS MD CP GR ETF 464287481 126 1040 SH SOLE 1040 0 0 ISHARES TR RUS MID CAP ETF 464287499 71 1641 SH SOLE 1641 0 0 ISHARES TR CORE S&P MCP ETF 464287507 60 419 SH SOLE 419 0 0 ISHARES TR RUS 1000 VAL ETF 464287598 19 196 SH SOLE 196 0 0 ISHARES TR S&P MC 400GR ETF 464287606 44 244 SH SOLE 244 0 0 ISHARES TR RUS 1000 GRW ETF 464287614 432 2865 SH SOLE 2865 0 0 ISHARES TR RUS 2000 VAL ETF 464287630 26 317 SH SOLE 317 0 0 ISHARES TR RUSSELL 2000 ETF 464287655 326 2851 SH SOLE 2851 0 0 ISHARES TR CORE S&P US VLU 464287663 43 921 SH SOLE 921 0 0 ISHARES TR CORE S&P US GWT 464287671 100 1760 SH SOLE 1760 0 0 ISHARES TR RUSSELL 3000 ETF 464287689 30 203 SH SOLE 203 0 0 ISHARES TR S&P MC 400VL ETF 464287705 71 648 SH SOLE 648 0 0 ISHARES TR U.S. FINLS ETF 464287788 15 152 SH SOLE 152 0 0 ISHARES TR CORE S&P SCP ETF 464287804 364 6496 SH SOLE 6496 0 0 ISHARES TR SP SMCP600VL ETF 464287879 3 30 SH SOLE 30 0 0 ISHARES TR S&P SML 600 GWT 464287887 38 275 SH SOLE 275 0 0 ISHARES TR SHRT NAT MUN ETF 464288158 306 2874 SH SOLE 2874 0 0 ISHARES TR GL TIMB FORE ETF 464288174 8 170 SH SOLE 170 0 0 ISHARES TR INTL SEL DIV ETF 464288448 89 3922 SH SOLE 3922 0 0 ISHARES TR IBOXX HI YD ETF 464288513 11 140 SH SOLE 140 0 0 ISHARES TR RESIDNL REAL EST 464288562 22 397 SH SOLE 397 0 0 ISHARES TR MSCI KLD400 SOC 464288570 22 225 SH SOLE 225 0 0 ISHARES TR MBS ETF 464288588 6 55 SH SOLE 55 0 0 ISHARES TR PFD AND INCM SEC 464288687 46 1448 SH SOLE 1448 0 0 ISHARES TR U.S. MED DVC ETF 464288810 267 1185 SH SOLE 1185 0 0 ISHARES TR EAFE VALUE ETF 464288877 104 2909 SH SOLE 2909 0 0 ISHARES TR EAFE GRWTH ETF 464288885 32 443 SH SOLE 443 0 0 ISHARES TR RUS TP200 VL ETF 464289420 147 3338 SH SOLE 3338 0 0 ISHARES TR RUS TP200 GR ETF 464289438 221 2627 SH SOLE 2627 0 0 ISHARES TR CORE MSCI EAFE 46432F842 204 4084 SH SOLE 4084 0 0 JOHNSON & JOHNSON COM 478160104 1176 8968 SH SOLE 8968 0 0 JPMORGAN CHASE & CO COM 46625H100 252 2804 SH SOLE 2804 0 0 MCDONALDS CORP COM 580135101 214 1295 SH SOLE 1295 0 0 MEDTRONIC PLC SHS G5960L103 818 9068 SH SOLE 9068 0 0 MERCK & CO. INC COM 58933Y105 246 3196 SH SOLE 3196 0 0 MICROSOFT CORP COM 594918104 1499 9506 SH SOLE 9506 0 0 NETFLIX INC COM 64110L106 201 535 SH SOLE 535 0 0 NORTHERN TECH INTL CORP COM 665809109 2005 271000 SH SOLE 271000 0 0 OGE ENERGY CORP COM 670837103 205 6673 SH SOLE 6673 0 0 ORACLE CORP COM 68389X105 212 4381 SH SOLE 4381 0 0 PEPSICO INC COM 713448108 382 3179 SH SOLE 3179 0 0 PFIZER INC COM 717081103 296 9080 SH SOLE 9080 0 0 SCHWAB STRATEGIC TR US BRD MKT ETF 808524102 3841 63568 SH SOLE 63568 0 0 SCHWAB STRATEGIC TR US LRG CAP ETF 808524201 6952 113495 SH SOLE 113495 0 0 SCHWAB STRATEGIC TR US LCAP GR ETF 808524300 11974 150329 SH SOLE 150329 0 0 SCHWAB STRATEGIC TR US LCAP VA ETF 808524409 14499 327517 SH SOLE 327517 0 0 SCHWAB STRATEGIC TR US MID-CAP ETF 808524508 1593 37794 SH SOLE 37794 0 0 SCHWAB STRATEGIC TR US SML CAP ETF 808524607 1427 27705 SH SOLE 27705 0 0 SCHWAB STRATEGIC TR EMRG MKTEQ ETF 808524706 417 20171 SH SOLE 20171 0 0 SCHWAB STRATEGIC TR US DIVIDEND EQ 808524797 53 1187 SH SOLE 1187 0 0 SCHWAB STRATEGIC TR INTL EQTY ETF 808524805 11565 447560 SH SOLE 447560 0 0 SCHWAB STRATEGIC TR US AGGREGATE B 808524839 222 4084 SH SOLE 4084 0 0 SCHWAB STRATEGIC TR US REIT ETF 808524847 1216 37155 SH SOLE 37155 0 0 SCHWAB STRATEGIC TR INTRM TRM TRES 808524854 10 177 SH SOLE 177 0 0 SCHWAB STRATEGIC TR SHT TM US TRES 808524862 977 18885 SH SOLE 18885 0 0 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 8 95 SH SOLE 95 0 0 SELECT SECTOR SPDR TR SBI CONS STPLS 81369Y308 29 530 SH SOLE 530 0 0 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 65 3100 SH SOLE 3100 0 0 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 4 69 SH SOLE 69 0 0 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 32 402 SH SOLE 402 0 0 SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 191 3456 SH SOLE 3456 0 0 SPDR INDEX SHS FDS LOW CARBON ETF 78463X194 18 236 SH SOLE 236 0 0 SPDR INDEX SHS FDS ASIA PACIF ETF 78463X301 5 64 SH SOLE 64 0 0 SPDR INDEX SHS FDS S&P CHINA ETF 78463X400 6 70 SH SOLE 70 0 0 SPDR INDEX SHS FDS PORTFOLIO EMG MK 78463X509 83 2908 SH SOLE 2908 0 0 SPDR INDEX SHS FDS DJ GLB RL ES ETF 78463X749 28 787 SH SOLE 787 0 0 SPDR INDEX SHS FDS PORTFOLIO DEVLPD 78463X889 632 26405 SH SOLE 26405 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 1607 6235 SH SOLE 6235 0 0 SPDR SER TR S&P 600 SMCP GRW 78464A201 535 11590 SH SOLE 11590 0 0 SPDR SER TR NUVEEN BBG BRCLY 78464A284 37 677 SH SOLE 677 0 0 SPDR SER TR S&P 600 SMCP VAL 78464A300 659 16120 SH SOLE 16120 0 0 SPDR SER TR PRTFLO S&P500 GW 78464A409 374 10457 SH SOLE 10457 0 0 SPDR SER TR PRTFLO S&P500 VL 78464A508 116 4500 SH SOLE 4500 0 0 SPDR SER TR HLTH CARE SVCS 78464A573 4 64 SH SOLE 64 0 0 SPDR SER TR PORTFOLIO LN TSR 78464A664 310 6561 SH SOLE 6561 0 0 SPDR SER TR S&P REGL BKG 78464A698 55 1687 SH SOLE 1687 0 0 SPDR SER TR S&P DIVID ETF 78464A763 74 930 SH SOLE 930 0 0 SPDR SER TR S&P 600 SML CAP 78464A813 356 7341 SH SOLE 7341 0 0 SPDR SER TR S&P 400 MDCP GRW 78464A821 739 17267 SH SOLE 17267 0 0 SPDR SER TR S&P 400 MDCP VAL 78464A839 725 20558 SH SOLE 20558 0 0 SPDR SER TR PORTFOLIO S&P500 78464A854 27 884 SH SOLE 884 0 0 SPDR SER TR S&P BIOTECH 78464A870 89 1149 SH SOLE 1149 0 0 SPDR SER TR BLOOMBERG SRT TR 78468R408 280 11871 SH SOLE 11871 0 0 SPDR SER TR BLOOMBERG BRCLYS 78468R622 36 378 SH SOLE 378 0 0 SPDR SER TR NUVEEN BRC MUNIC 78468R721 89 1789 SH SOLE 1789 0 0 SPDR SER TR NUVEEN BLMBRG SR 78468R739 37 750 SH SOLE 750 0 0 SPDR SER TR PRTFLO S&P500 HI 78468R788 0 08 SH SOLE 8 0 0 STARBUCKS CORP COM 855244109 228 3467 SH SOLE 3467 0 0 TARGET CORP COM 87612E106 238 2557 SH SOLE 2557 0 0 TEVA PHARMACEUTICAL FIN LLC DBCV 0.250% 2/0 88163VAE9 15 16000 PRN SOLE 16000 0 0 UNITEDHEALTH GROUP INC COM 91324P102 426 1709 SH SOLE 1709 0 0 US BANCORP DEL COM NEW 902973304 235 6835 SH SOLE 6835 0 0 VANGUARD INDEX FDS MCAP VL IDXVIP 922908512 16 191 SH SOLE 191 0 0 VANGUARD INDEX FDS REAL ESTATE ETF 922908553 15 214 SH SOLE 214 0 0 VANGUARD INDEX FDS SML CP GRW ETF 922908595 32 216 SH SOLE 216 0 0 VANGUARD INDEX FDS MID CAP ETF 922908629 24 181 SH SOLE 181 0 0 VANGUARD INDEX FDS LARGE CAP ETF 922908637 177 1497 SH SOLE 1497 0 0 VANGUARD INDEX FDS GROWTH ETF 922908736 419 2671 SH SOLE 2671 0 0 VANGUARD INDEX FDS VALUE ETF 922908744 134 1502 SH SOLE 1502 0 0 VANGUARD INDEX FDS SMALL CP ETF 922908751 88 762 SH SOLE 762 0 0 VANGUARD INDEX FDS TOTAL STK MKT 922908769 24 187 SH SOLE 187 0 0 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 252 3192 SH SOLE 3192 0 0 VANGUARD TAX-MANAGED INTL FD FTSE DEV MKT ETF 921943858 497 14902 SH SOLE 14902 0 0 VANGUARD WORLD FDS CONSUM STP ETF 92204A207 21 152 SH SOLE 152 0 0 VANGUARD WORLD FDS FINANCIALS ETF 92204A405 79 1555 SH SOLE 1555 0 0 VANGUARD WORLD FDS HEALTH CAR ETF 92204A504 7 40 SH SOLE 40 0 0 VANGUARD WORLD FDS INF TECH ETF 92204A702 186 877 SH SOLE 877 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 560 10429 SH SOLE 10429 0 0 VISA INC COM CL A 92826C839 917 5691 SH SOLE 5691 0 0 WELLPOINT INC NOTE 2.750%10/1 94973VBG1 35 11000 PRN SOLE 11000 0 0 XCEL ENERGY INC COM 98389B100 239 3963 SH SOLE 3963 0 0