{"url":"https://nivawealth.com/firms/bas-capital-150430","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/150430","regulatoryAum":117010925,"crd":"150430","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"1721947","suffix":null,"lastName":"STEIN","firstName":"BRUCE","middleName":"ALLEN"}],"total":1,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"secFileNumber":"801-136551","legalName":"Bas Capital Corp.","displayName":"Bas Capital","slug":"bas-capital-150430","website":null,"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"Tennessee corporation","fiscalYearEnd":"December","headquarters":{"street":"","city":"","state":"","stateName":"","country":"","postalCode":null},"tradeNames":[],"registration":{"secApproved":"22 July 2026","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":null,"staff":{"employees":2,"advisory":1,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":117010925,"discretionary":117010925,"discretionaryAccounts":22,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":22},"clientTypes":[{"label":"Individuals (other than HNW)","clients":null,"fewerThan5":true,"regulatoryAum":28694},{"label":"High-net-worth individuals","clients":20,"regulatoryAum":116982231}],"feePrograms":[],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed_no_numerical_schedule","checkedAt":"2026-10-22T13:57:18.387923+00:00","documents":[{"name":"ADV BROCHURE AND BROCHURE SUPPLEMENT","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1029132","versionId":1029132,"submittedOn":"2026-03-27"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"Westlake, TX","smaAssets":80308594}],"custodyNote":"Bas Capital has custody of $57.9M in client assets for 8 clients.","otherCustodians":[],"leadership":[{"name":"Bruce Stein","title":"President and Sole Shareholder","crd":"1721947"},{"name":"Bruce Stein","title":"Chief Compliance Officer","crd":"1721947"}],"ownership":[{"label":"Bruce Stein","detail":"President and sole shareholder in the 75% or more ownership band and a control person, since May 1997. Also chief compliance officer in the 75% or more ownership band and a control person, since May 2009."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"901-486-9216","stateRegisteredReps":1,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Performance-based fees"],"activities":["Portfolio management for individuals and/or small businesses","Pension consulting services"],"financialPlanningClients":"11-25","assetMix":[{"label":"Exchange-traded equity securities","percent":89},{"label":"U.S. government/agency bonds","percent":9},{"label":"Cash and cash equivalents","percent":2}],"privateFunds":0},"sources":{"adv1FilingDate":"22 July 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/150430/PDF/150430.pdf","brochureDate":"27 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1029132","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Bas Capital have?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Bas Capital offer?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does Bas Capital use?","answer":"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","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Bas Capital have?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Bas Capital invest in?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Bas Capital?","answer":"Bas Capital’s direct owner is Bruce Stein (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 22 July 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Bas Capital get paid?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Bas Capital?","answer":"Its phone number is 901-486-9216.","source":"Form ADV Part 1A, Item 1.F, filed 22 July 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}