Broker-Dealer Ballast Rock Capital Expands Capabilities for Independent Investment Banking Professionals Amid Growing Market Demand
Industry veterans Carrie Schneidman and Dennis Azary have joined Ballast Rock Capital as Co-Chief Compliance Officers.
CHARLESTON, SC, Feb. 24, 2026 (GLOBE NEWSWIRE) -- Ballast Rock Capital (MEMBER: FINRA / SIPC) today announced a significant expansion of its capabilities, offering sophisticated compliance infrastructure, operational rigor, and real-time transaction support tailored for established investment banking professionals.
Building on its exiting foundation in securities regulation, M&A advisory oversight, and private capital markets transactions, Ballast Rock Capital will now offer institutional-grade supervisory controls within a flexible, boutique operating environment to outside investment banking professionals looking to remain independent.
"Investment bankers and M&A advisors have long navigated a difficult choice: work within larger organizations with bureaucratic friction, or operate independently without proper supervisory infrastructure," said Thomas Carroll, Chief Executive Officer of Ballast Rock Capital. "We have built a third option: a principal-led platform where experienced professionals receive appropriate oversight."
As part of the expansion, industry veterans Carrie Schneidman and Dennis Azary have joined Ballast Rock Capital as Co-Chief Compliance Officers. Through a variety of compliance roles across broker-dealers over the past decade, both have established reputations built on transparent supervisory expectations and deep FINRA and SEC expertise across M&A, private placements, PIPEs, and registered direct offerings.
With the added capabilities, Ballast Rock Capital is now serving:
• Investment bankers requiring oversight and compliance support for both sell-side and buy-side engagements
• M&A advisors executing complex advisory mandates requiring transaction-aware regulatory support
• Capital-raising professionals managing private placements and structured offerings
• Independent representatives seeking a high-touch environment with institutional controls
Ballast Rock Capital is structured to support independent and geographically dispersed professionals, subject to adherence to firm policies regarding supervision, communications, recordkeeping, and regulatory reporting. The firm prioritizes quality engagements and regulatory integrity over transaction volume.
Ballast Rock Capital's approach reflects a core conviction: trust is earned through consistent execution, clear communication, and a compliance approach that supports—rather than replaces—professional judgment. The firm's leadership brings extensive experience working directly with regulators across complex transaction types.
For more information about affiliation opportunities or to learn how Ballast Rock Capital supports experienced investment banking professionals, visit www.ballastrockcapital.com or on LinkedIn at www.linkedin.com/company/ballast-rock-capital/.
About Ballast Rock
Ballast Rock is an integrated investment management company specializing in delivering risk-adjusted returns, accurate, and timely advice, high quality frequent reporting, and direct access to management. Ballast Rock operates Ballast Rock Asset Management, Ballast Rock Private Wealth, and Ballast Rock Capital. Ballast Rock Asset Management offers private market investment opportunities across multifamily real estate, private credit, and venture capital funds. Ballast Rock Private Wealth is a full-service SEC registered investment advisor. Ballast Rock Capital (member FINRA/SIPC) is an FINRA regulated broker-dealer. Ballast Rock is committed to being a driver of positive change. The diversity of our team members brings valuable new perspectives to our industry for the benefit of our stakeholders and the broader community.
Ballast Rock Capital LLC (“BRC”), MEMBER: FINRA / SIPC. BRC’s registered head office is 460 King Street, Suite 200, Charleston, SC, 29403. Tel: 800-204-2513. To check background information about BRC and its representatives, visit FINRA’s BrokerCheck. Please see important disclosure information in our Form CRS.
Contact Details For Ballast Rock Lisa Aldape, Vocatus laldape@vocatusllc.com
Legal Disclaimer:
EIN Presswire provides this news content "as is" without warranty of any kind. We do not accept any responsibility or liability for the accuracy, content, images, videos, licenses, completeness, legality, or reliability of the information contained in this article. If you have any complaints or copyright issues related to this article, kindly contact the author above.
