AUMdb

Banta Asset Management Lp

SEC-registered Wealth Manager · Small ($100M–$1B) CRD 142987 · SEC file 801-67519 · Newport Beach, CA · WWW.BANTAASSETMANAGEMENT.COM
☆ Save with Pro ADV data as of Feb 11, 2026
Regulatory AUM
$129M
Discretionary
$129M
Clients
117
Avg AUM / client
$1.1M
Accounts
211
Employees
4

AUM over time

$90.7M $169M
Mar 14, 2012 Feb 11, 2026

Reported AUM from Form ADV filings, plotted by filing date · as of Feb 11, 2026

Who they serve

Client typeClientsAUM% of AUM
Individuals (non-high net worth) 54 $58.0M 45.1%
High net worth individuals 63 $69.4M 54.0%
Pension and profit sharing plans Fewer than 5 clients $1.2M 0.96%

People (6)

roster as of Jul 20, 2026
NameRole / titleCredentialsWith firm sinceOwnership
Banta, Kimberle, Malone Trustee Dec 2002 (24y) GP / trustee / elected manager of Banta Family Trust U/A/D 12/01/02 (indirect)
Mark David Banta Trustee Dec 2002 (24y) GP / trustee / elected manager of Banta Family Trust U/A/D 12/01/02 (indirect)
Stephen Matthew Banta Chief Compliance Officer Dec 2002 (24y) Less than 5%
Michael Beale Banta Trustee Apr 2008 (18y) GP / trustee / elected manager of M Banta & S Banta Ttee Michael & Sara Banta Trust U/A Dtd 08/19/2004 (indirect)
Banta, Pamela, George Trustee Jun 2015 (11y) GP / trustee / elected manager of The Stephen And Pamela Banta Family Trust U/A Dtd 06/16/2015 (indirect)
Banta, Sara, Warmington Trustee Dec 2018 (8y) GP / trustee / elected manager of M Banta & S Banta Ttee Michael & Sara Banta Trust U/A Dtd 08/19/2004 (indirect)

Entity owners (Schedule A/B)

EntityTitle / statusSinceSch.Ownership
The Stephen And Pamela Banta Family Trust U/A Dtd 06/16/2015 Limited Partner Jun 2004 A 25% – 50%
Banta Family Trust U/A/D 12/01/02 Limited Partner Jun 2004 A 25% – 50%
M Banta & S Banta Ttee Michael & Sara Banta Trust U/A Dtd 08/19/2004 Limited Partner Dec 2018 A 25% – 50%
Banta Capital Management, Llc General Partner Jun 2004 A Less than 5%
The Stephen And Pamela Banta Family Trust U/A Dtd 06/16/2015 Managing Member Jun 2004 B ≈ 0% – 2.5% via Banta Capital Management, Llc
David & Stephanie Banta Family Trust U/A/D 09/29/1997 Managing Member Jun 2004 B ≈ 0% – 2.5% via Banta Capital Management, Llc
Banta Family Trust U/A/D 12/01/02 Managing Member Jun 2004 B ≈ 0% – 2.5% via Banta Capital Management, Llc
M Banta & S Banta Ttee Michael & Sara Banta Trust U/A Dtd 08/19/2004 Managing Member Dec 2018 B GP / trustee / elected manager of Banta Capital Management, Llc (indirect)

Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.

Estimated effective ownership (look-through of filed bands):

  • The Stephen And Pamela Banta Family Trust U/A Dtd 06/16/2015: 25% – 50% of Banta Capital Management, Llc × 0% – 5% direct ≈ 0% – 2.5% of the firm
  • David & Stephanie Banta Family Trust U/A/D 09/29/1997: 25% – 50% of Banta Capital Management, Llc × 0% – 5% direct ≈ 0% – 2.5% of the firm
  • Banta Family Trust U/A/D 12/01/02: 25% – 50% of Banta Capital Management, Llc × 0% – 5% direct ≈ 0% – 2.5% of the firm

Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.

Documents (1 archived)

FormPeriodSize
Form ADV (full filing) 02/11/2026 990 KB View · PDF · Source ↗

Archived copies of the firm's regulatory filings, versioned by content hash.

Disciplinary disclosures

No disciplinary events reported on the firm's latest Form ADV filing.

How they charge

  • • Percentage of assets under management
  • • Hourly charges
  • • Fixed fees

Services

  • • Financial planning services
  • • Portfolio management for individuals/small businesses

Custody

Reported custodians

Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).

Firm reports having custody of client funds or securities (Item 9.A).

Source

All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Feb 11, 2026.

View current Form ADV (SEC/IAPD) ↗