James Osborne has been Managing Member/CCO of Bason Asset Management since August 2012, is a control person of the firm and directly owns 75% or more of it. James Osborne holds an MBA in Investment Management from the University of Colorado.
Bason Asset Management LLC is a Lakewood, CO firm with $849M under management, 139 clients and 2 advisers across 3 offices, as of its February 2026 filing.
James D. Osborne created Bason Asset Management in late 2012. He has spent his career in the investment management industry, helping clients manage their portfolios and plan for retirement, legacy and lifetime goals. He has previously instructed CPE courses for the Colorado Society of CPAs.
James Osborne’s longest registration is the current one, 13 years at Bason Asset Management since 2012. Before joining Bason Asset Management in 2012, James Osborne was registered through M. J. Smith and Associates and Pacific West Financial Consultant Inc.
- Bason Asset ManagementCurrent– present · 13 yearsLakewood, CO · Adviser representative · Firm CRD 165450
- M. J. Smith and Associates– · 1 yearGreenwood Village, CO · Adviser representative · Firm CRD 110919
- Pacific West Financial Consultant Inc– · under a yearRenton, WA · Adviser representative · Firm CRD 108728
Professional designations
Listed by Bason Asset Management
- CERTIFIED FINANCIAL PLANNER™ (CFP®)
Investment adviser representative registrations
James Osborne is registered as an investment adviser representative in 3 states, as a resident of Texas. The first approvals date from November 2012; the most recent is Nebraska, in May 2019.
- ColoradoSince 23 November 2012
- NebraskaSince 15 May 2019
- TexasResidentSince 14 May 2015
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 23 February 2007 |
| Series 7 | General Securities Representative Examination | 12 January 2006 |
| Series 63 | Uniform Securities Agent State Law Examination | 12 March 2005 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 3 February 2005 |
- Name
- Uniform Investment Adviser Law Examination
- Name
- General Securities Representative Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- James Daniel Osborne
- CRD
- 4907938
- Firm
- Bason Asset Management · CRD 165450
- Role
- Managing Member/CCO
- Office
- 355 S. TELLER ST., SUITE 200, Lakewood, CO 80226
- Registration
- Investment adviser registration
- In the industry since
- February 2011
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- basonasset.com
Where does James Osborne work?
James Osborne has been Managing Member/CCO of Bason Asset Management LLC since August 2012, and is a control person of the firm.
Is James Osborne a financial advisor?
Yes. James Osborne has a current investment-adviser registration in Colorado, Nebraska and Texas, through Bason Asset Management since November 2012.
How many years of experience does James Osborne have?
James Osborne has 15 years in the financial industry, since February 2011, across 3 adviser firms.
What exams has James Osborne passed?
James Osborne has passed 4 licensing exams: the Series 6, Series 63, Series 7 and Series 65. The earliest, the Series 6, was passed in February 2005.
Where did James Osborne work before Bason Asset Management?
Before Bason Asset Management, James Osborne was registered through M. J. Smith and Associates, March 2011 to September 2012; Pacific West Financial Consultant Inc, March 2007 to June 2007.
Where is James Osborne based?
James Osborne’s registered office is in Lakewood, CO.
Is James Osborne registered with FINRA?
No. James Osborne has no current broker registration.
Is James Osborne a CFP?
Bason Asset Management lists James Osborne with the CFP credential (“CERTIFIED FINANCIAL PLANNER™ (CFP®)”) on its website. CFP Board confirms certification status.
Source: James D. Osborne, MBA, CFP® biography, basonasset.com
How can I verify James Osborne’s record?
Search CRD 4907938 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes James Osborne’s full registration record.