Catherine Richmond

Employer firm

Ballast, Inc. CRD 152695

$752M regulatory AUM 1 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Pension consulting
• Selection of other advisers

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 06/2015 → 10/2025
  Kaplan, Inc.
  Lexington, KY
• 11/2025 → Present
  Ballast, Inc.
  Lexington, KY

Other Businesses

I am part-owner of an LLC, with my brother, on a property in Ohio. I am President of the LLC. I do not earn income off this property. Less than 5% of my time is devoted to this business.

Exams

• S65 Uniform Investment Adviser Law Examination
  2025-09-04