BB
CFA
BB
CFA
Buddie Ballard is a CFA-designated registered investment advisor at Alpha Capital Management, based in Austin, TX, with 39 years of industry experience. Buddie operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Investment Management. Their firm serves 432 clients with $770M in assets under management.
Compensation
Fee-Only (% of Portfolio)
Firm Size
6 advisors
Number of Clients
432 clients
Average Client Portfolio
$1.8M average
Assets Under Management
$766.3M
Fee Structure
Minimum Investment:$100K
Investment management only (planning not offered)
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $1.0M | 1.00% |
| $1M+ | 1.00% |
Accounts holding $1 million or more are assessed a fee lower than 1% at a negotiated level.
Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
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Location
5407 Parkcrest Drive, 2nd Floor, Austin, TX, 78731
Get directionsHistory
Regulatory History (6)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
May 2003Settled
Customer Dispute
February 2003Settled
Customer Dispute
July 2002Settled
Customer Dispute
June 2002Settled
Customer Dispute
January 2002Award / Judgment
Customer Dispute
April 1998Settled
Employment History
Current Registrations
Alpha Capital Management
September 2002 - Present · 23 yrs 7 mos
Previous Registrations
Wachovia Securities, INC.
November 1998 - September 2002 · 3 yrs 10 mos
Wachovia Securities, INC.Broker
November 1998 - September 2002 · 3 yrs 10 mos
Salomon Smith Barney INC.Broker
April 1994 - November 1998 · 4 yrs 7 mos
Everen Securities, INC.Broker
September 1990 - March 1994 · 3 yrs 6 mos
Lovett Underwood Neuhaus & Webb, INC.Broker
July 1990 - September 1990 · 2 mos
Masterson Moreland Sauer Whisman, INC.Broker
November 1989 - July 1990 · 8 mos
Underwood, Neuhaus & CO., IncorporatedBroker
January 1989 - November 1989 · 10 mos
Painewebber IncorporatedBroker
July 1987 - January 1989 · 1 yr 6 mos
New England Securities CorporationBroker
February 1987 - August 1987 · 6 mos
State Registrations1 state
TX
Advisor
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.