BASEPOINT WEALTH, LLC
Adviser information for BASEPOINT WEALTH, LLC last updated from Form ADV on March 5th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Partnership |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Iowa, United States |
Employees
| Total Number of Employees | 20 |
|---|---|
| Investment Advisory/Research | 11 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 11 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 3,345 | $648.4M |
| Non-Discretionary | 29 | $16.6M |
| Total | 3,374 | $665.1M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 958 | $243.8M |
| HNW Individuals | 207 | $357.2M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 12 | $33.3M |
| Charitable organizations | <5 | $45,917 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 7 | $30.8M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 20 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 11-25 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPension consulting servicesTAX & ACCOUNTING |
|---|---|
| Compensation | % of AUMHourly chargesFixed feesPerformance-based fees |
| Other Business Activities | Accountant or accounting firm |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 0 |
| Both for Same | 651.5M |
| Portfolio Manager to Program | Sponsor |
|---|---|
| BASEPOINT WEALTH | BASEPOINT WEALTH |
Identifiers
| SEC RIA File Number | 801-111782 |
|---|---|
| SEC ERA File Number | 801-111782 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 289538 |
| Legal Entity Identifier | None |
Principal Office
4144 GOLF STREET NECEDAR RAPIDS
IA
United States
Monday - Friday, 8:00AM TO 5:00PM
Tel: (319) 826-1898, Fax: 319-826-1471
Chief Compliance Officer
KATHERINE E. KULA
MEMBER
4144 GOLF STREET NE
CEDAR RAPIDS
IA
United States
Tel:
(319) 826-1898
Fax:
319-826-1471
K*********@******************M
(Full email address available in API data)
Regulatory Contact
KATHRYN M. WALLACE
MANAGING MEMBER, SENIOR WEALTH ADVISOR
4144 GOLF STREET NE
CEDAR RAPIDS
IA
United States
Tel:
(319) 826-1898
Fax:
319-826-1471
K***********@******************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| WALLACE, WILLIAM, ALLEN | Individual | – | CHIEF INVESTMENT OFFICER AND MANAGING MEMBER" | 08/2017 | 25-50% |
| WALLACE, KATHRYN, MARSH | Individual | – | MANAGING MEMBER, SENIOR WEALTH ADVISOR | 08/2017 | 25-50% |
| WILEY, LANDIS, TYLER | Individual | – | MEMBER, SENIOR WEALTH ADVISOR | 08/2017 | 10-25% |
| KNUDSON, BRYAN, JENNINGS | Individual | – | MEMBER, SENIOR WEALTH ADVISOR | 08/2017 | 5-10% |
| KULA, KATHERINE, EMMA | Individual | – | MEMBER, CHIEF COMPLIANCE OFFICER | 08/2017 | < 5% |