BASA ADVISORS
BASA RESOURCES, INC. Legal Name
Adviser information for BASA ADVISORS last updated from Form ADV on March 28th, 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 | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Texas, United States |
Employees
| Total Number of Employees | 16 |
|---|---|
| Investment Advisory/Research | 5 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| 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 | 2 | $107.1M |
| Non-Discretionary | 0 | $0 |
| Total | 2 | $107.1M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 2 | $107.1M |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| 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 | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for pooled investment vehicles |
|---|---|
| Compensation | % of AUMPerformance-based fees |
Identifiers
| SEC RIA File Number | 801-113534 |
|---|---|
| SEC ERA File Number | 801-113534 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 290034 |
| Legal Entity Identifier | None |
Principal Office
14875 LANDMARK BOULEVARDSUITE 400
DALLAS
TX
United States
Monday - Friday, 8:00-5:00
Tel: 214-559-4200, Fax: 214-528-1988
Chief Compliance Officer
ZACHARY DRAKE
IN-HOUSE COUNSEL, VP OF LAND
14875 LANDMARK BOULEVARD
SUITE 400
DALLAS
TX
United States
Tel:
214-580-5229
Z*****@****************M
(Full email address available in API data)
Regulatory Contact
NATHAN MCGOUGH
CHIEF FINANCIAL OFFICER
14875 LANDMARK BOULEVARD
SUITE 400
DALLAS
TX
United States
Tel:
214-580-5258
N*******@****************M
(Full email address available in API data)
Industry Affiliates
| BASA PETROFUND MANAGEMENT II, LTD | Sponsor, GP, manager of pooled investment vehicles |
| BASA PETROFUND MANAGEMENT, LTD | Sponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| BASA PETROFUND I, L.P. | Private Equity Fund | $0.1M | $2.0M | 17 |
| BASA PETROFUND II, LP | Private Equity Fund | $107.0M | $5.0M | 2 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| COREY KNOWLTON 2011 IRREVOCABLE TRUST | Domestic Entity | – | OWNER | 02/2011 | 10-25% |
| FOSTER, MICHAEL, NELSON | Individual | – | PRESIDENT AND OWNER | 05/1989 | 50-75% |
| KNOWLTON, LARY, DALE | Individual | – | EXECUTIVE VICE PRESIDENT AND OWNER | 05/1989 | 10-25% |
| BRADY KNOWLTON 2011 IRREVOABLE TRUST | Domestic Entity | – | OWNER | 02/2011 | 10-25% |
| Knowlton, Brady, Austin | Individual | BRADY KNOWLTON 2011 IRREVOABLE TRUST | TRUSTEE | 02/2011 | |
| Knowlton, Corey, Daniel | Individual | COREY KNOWLTON 2011 IRREVOCABLE TRUST | TRUSTEE | 02/2011 | |
| Drake, Zachary, Hunter | Individual | – | CHIEF COMPLIANCE OFFICER | 04/2013 | < 5% |
| McGough, Nathan, Andrew | Individual | – | CHIEF FINANCIAL OFFICER | 04/2004 | < 5% |