BANTA ASSET MANAGEMENT LP
Adviser information for BANTA ASSET MANAGEMENT LP last updated from Form ADV on February 7th, 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 Partnership |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | California, United States |
Employees
| Total Number of Employees | 4 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 3 |
| 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 | 217 | $97.5M |
| Non-Discretionary | 0 | $0 |
| Total | 217 | $97.5M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 61 | $44.4M |
| HNW Individuals | 59 | $52.1M |
| 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 | <5 | $969,765 |
| 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 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Principal Office
517 30TH STREETNEWPORT BEACH
CA
United States
Monday - Friday, 8:00 AM TO 3:00 PM
Tel: 949-673-9944, Fax: 949-673-9955
Websites
Chief Compliance Officer
STEPHEN BANTA
PARTNER
517 30TH STREET
NEWPORT BEACH
CA
United States
Tel:
949-673-9944 EXT. 1
S******@***********************M
(Full email address available in API data)
Regulatory Contact
CHERI A. BILLIET
ADMINISTRATOR CLIENT SERVICES
517 30TH STREET
NEWPORT BEACH
CA
United States
Tel:
949-673-9944 EXT. 4
C****@***********************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 |
|---|---|---|---|---|---|
| BANTA CAPITAL MANAGEMENT, LLC | Domestic Entity | – | GENERAL PARTNER | 06/2004 | < 5% |
| BANTA, STEPHEN, MATTHEW | Individual | – | CHIEF COMPLIANCE OFFICER | 06/2004 | < 5% |
| THE STEPHEN AND PAMELA BANTA FAMILY TRUST U/A DTD 06/16/2015 | Domestic Entity | – | LIMITED PARTNER | 06/2004 | 25-50% |
| BANTA FAMILY TRUST U/A/D 12/01/02 | Domestic Entity | – | LIMITED PARTNER | 06/2004 | 25-50% |
| BANTA, STEPHEN, MATTHEW | Individual | THE STEPHEN AND PAMELA BANTA FAMILY TRUST U/A DTD 06/16/2015 | TRUSTEE | 12/2002 | |
| BANTA, MARK, DAVID | Individual | BANTA FAMILY TRUST U/A/D 12/01/02 | TRUSTEE | 12/2002 | |
| BANTA, KIMBERLE, MALONE | Individual | BANTA FAMILY TRUST U/A/D 12/01/02 | TRUSTEE | 12/2002 | |
| THE STEPHEN AND PAMELA BANTA FAMILY TRUST U/A DTD 06/16/2015 | Domestic Entity | BANTA CAPITAL MANAGEMENT, LLC | MANAGING MEMBER | 06/2004 | 25-50% |
| DAVID & STEPHANIE BANTA FAMILY TRUST U/A/D 09/29/1997 | Domestic Entity | BANTA CAPITAL MANAGEMENT, LLC | MANAGING MEMBER | 06/2004 | 25-50% |
| BANTA FAMILY TRUST U/A/D 12/01/02 | Domestic Entity | BANTA CAPITAL MANAGEMENT, LLC | MANAGING MEMBER | 06/2004 | 25-50% |
| BANTA, MICHAEL, BEALE | Individual | M BANTA & S BANTA TTEE MICHAEL & SARA BANTA TRUST U/A DTD 08/19/2004 | TRUSTEE | 12/2018 | |
| BANTA, PAMELA, GEORGE | Individual | THE STEPHEN AND PAMELA BANTA FAMILY TRUST U/A DTD 06/16/2015 | TRUSTEE | 06/2015 | |
| M BANTA & S BANTA TTEE MICHAEL & SARA BANTA TRUST U/A DTD 08/19/2004 | Domestic Entity | – | LIMITED PARTNER | 12/2018 | 25-50% |
| BANTA, SARA, WARMINGTON | Individual | M BANTA & S BANTA TTEE MICHAEL & SARA BANTA TRUST U/A DTD 08/19/2004 | TRUSTEE | 12/2018 | |
| M BANTA & S BANTA TTEE MICHAEL & SARA BANTA TRUST U/A DTD 08/19/2004 | Domestic Entity | BANTA CAPITAL MANAGEMENT, LLC | MANAGING MEMBER | 12/2018 |
No. Employees, Historic
RAUM, Historic
No. Clients, Historic
Holdings
From latest 13F, filed January 11th, 2024 for period ending December 31st, 2023
| Name | Class | Value $USD | # Shares | Private Fund |
|---|---|---|---|---|
| APPLE INC | COM | 8M | 41K | – |
| COSTCO WHSL CORP NEW | COM | 215K | 325 | – |
| HOME DEPOT INC | COM | 204K | 590 | – |
| INVESCO EXCH TRD SLF IDX FD | BULETSHS 2027 | 4M | 188K | – |
| INVESCO EXCH TRD SLF IDX FD | BULSHS 2024 HY | 4M | 187K | – |
| INVESCO EXCH TRD SLF IDX FD | BULSHS 2025 HY | 4M | 188K | – |
| INVESCO EXCH TRD SLF IDX FD | INVSCO 28 HYCORP | 3M | 154K | – |
| INVESCO EXCH TRD SLF IDX FD | INVSCO BLSH 26 | 4M | 188K | – |
| INVESCO QQQ TR | UNIT SER 1 | 24M | 59K | – |
| ISHARES TR | IBOXX HI YD ETF | 948K | 12K | – |
| ISHARES TR | PFD AND INCM SEC | 807K | 26K | – |
| MICROSOFT CORP | COM | 720K | 2K | – |
| SPDR DOW JONES INDL AVERAGE | UT SER 1 | 1M | 3K | – |
| SPDR S&P 500 ETF TR | TR UNIT | 2M | 3K | – |
| TESLA INC | COM | 210K | 845 | – |
| VANGUARD INDEX FDS | S&P 500 ETF SHS | 21M | 48K | – |
| VERITONE INC | COM | 4M | 2M | – |