Bas Capital provides portfolio management for individuals and small businesses and pension consulting. Financial planning was provided to 11–25 clients last fiscal year.
Bas Capital reports 20 clients. They include 20 high-net-worth individuals. Of its assets, 100.0% ($117M across 22 accounts) are managed with discretion. It advised 22 clients without assets under management last fiscal year.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | Fewer than 5 | <1% |
| High-net-worth individuals | 100% | 100% |
Client shares use reported counts. Client types without a reported count are excluded from that total.
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | Fewer than 5 | $28.7K | 0.0% | — |
| High-net-worth individuals | 20 | $117M | 100.0% | $5.85M |
| Total | 20 | $117M | 100% | — |
- Clients
- Fewer than 5
- Regulatory AUM
- $28.7K
- AUM share
- 0.0%
- Avg. per client
- —
- Clients
- 20
- Regulatory AUM
- $117M
- AUM share
- 100.0%
- Avg. per client
- $5.85M
Total
- Clients
- 20
- Regulatory AUM
- $117M
- AUM share
- 100%
- Avg. per client
- —
- Clients outside the U.S.
- 0%
- Clients advised without assets under management last fiscal year
- 22
- Private funds advised
- 0
- Financial planning clients last fiscal year
- 11–25
Bas Capital is paid through a percentage of assets under management and performance-based fees. The reviewed brochures do not disclose an asset-based fee rate. Read the SEC-filed brochure.
Bruce Stein owns 75% or more of Bas Capital. The leadership team of Bas Capital includes President Bruce Stein. It has 2 employees, 1 of them in advisory roles.
Leadership
- Bruce SteinPresident and Sole Shareholder
- Bruce SteinChief Compliance Officer
Investment adviser representatives
1 representatives listed in the SEC register as of 9 October 2026.
Staff
- 2 employees
- 1 in advisory functions
- 1 state-registered rep
- Owns 75% or more of Bas Capital Corp.
Bruce Stein
Control person · since May 1997
Besides its headquarters, Bas Capital has 0 offices, with 1 listed address with no US state reported.
Contact and registration details
- Legal name
- Bas Capital Corp.
- Headquarters
- Not reported
- Website
- Not reported
- Phone
- 901-486-9216
- SEC file
- 801-136551
- Structure
- Tennessee corporation
- Fiscal year end
- December
Bas Capital uses Charles Schwab ($80.3M) as custodian for its separately managed accounts. Bas Capital has custody of $57.9M in client assets for 8 clients.
- Charles SchwabCharles Schwab & Co., Inc. · Westlake, TX · $80.3M100%
At year end, Bas Capital’s separately managed accounts were mostly in stocks (89%).
What the accounts hold
- Stocks89%
- Bonds9%
- Cash2%
How many clients does Bas Capital have?
Bas Capital has 20 clients and manages $117 million for them, as of July 2026. They include 20 high-net-worth individuals.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 22 July 2026
What services does Bas Capital offer?
Bas Capital provides portfolio management for individuals and small businesses and pension consulting.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file
Which custodians does Bas Capital use?
Bas Capital’s separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $80.3M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 22 July 2026
How many financial advisors does Bas Capital have?
Bas Capital has 1 investment adviser representative registered with state securities authorities, out of 2 employees, and 1 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.
Source: Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file
What does Bas Capital invest in?
At the end of its last fiscal year, Bas Capital’s separately managed accounts held 89% exchange-traded equities, 9% U.S. government and agency bonds and 2% cash and equivalents.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns Bas Capital?
Bas Capital’s direct owner is Bruce Stein (75% or more).
Source: Form ADV Part 1A, Schedules A and B, filed 22 July 2026
How does Bas Capital get paid?
Bas Capital is paid through a percentage of assets under management and performance-based fees. Its Form ADV lists no commissions among how it is paid.
Source: Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file
How do I contact Bas Capital?
Its phone number is 901-486-9216.