{"url":"https://nivawealth.com/firms/bason-asset-management-165450","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/165450","regulatoryAum":848804132,"crd":"165450","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"5482156","suffix":null,"lastName":"EBBESEN","firstName":"MCKENZIE","middleName":"LYNN"},{"crd":"4907938","suffix":null,"lastName":"OSBORNE","firstName":"JAMES","middleName":"DANIEL"}],"total":2,"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"},"history":[{"filedOn":"2021-05-03","regulatoryAum":439599493,"clients":123,"employees":2,"offices":3},{"filedOn":"2022-02-02","regulatoryAum":590387000,"clients":142,"employees":2,"offices":3},{"filedOn":"2023-02-14","regulatoryAum":573935000,"clients":139,"employees":2,"offices":3},{"filedOn":"2024-01-17","regulatoryAum":618161736,"clients":157,"employees":2,"offices":3},{"filedOn":"2025-02-19","regulatoryAum":700595332,"clients":153,"employees":2,"offices":3},{"filedOn":"2026-02-20","regulatoryAum":848804132,"clients":139,"employees":2,"offices":3}],"secFileNumber":"801-107297","legalName":"Bason Asset Management LLC","displayName":"Bason Asset Management","slug":"bason-asset-management-165450","website":"https://basonasset.com/","logo":{"src":"https://rmkhnxnbeclogprvkfyl.supabase.co/storage/v1/object/public/firm-logos/165450/35094c67b433b451-r1.webp","tone":"light","width":451,"height":200,"sourceUrl":"https://basonasset.com/","sourceLabel":"Bason Asset Management, website"},"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"Colorado limited liability company","fiscalYearEnd":"December","headquarters":{"street":"355 S. Teller St., Suite 200","city":"Lakewood","state":"CO","stateName":"Colorado","country":"United States","postalCode":"80226"},"tradeNames":[],"registration":{"secApproved":"12 February 2016","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":6218864.785185185,"staff":{"employees":2,"advisory":2,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":848804132,"discretionary":845906132,"discretionaryAccounts":806,"nonDiscretionary":2898000,"nonDiscretionaryAccounts":34,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":15,"regulatoryAum":9500000},{"label":"High-net-worth individuals","clients":120,"regulatoryAum":830046746},{"label":"Pension and profit-sharing plans","clients":4,"regulatoryAum":9257386}],"feePrograms":[{"role":"other","program":"Financial planning engagements","summary":"Financial planning is offered on a per-project basis; a typical project engagement fee is $3,000 - $4,000, billed in arrears not less frequently than quarterly.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1010576","versionId":1010576,"submittedOn":"2026-02-20","documentName":"BASON ADV PART 2A ANNUAL AMENDMENT 01.17.24"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed_no_numerical_schedule","checkedAt":"2026-10-22T07:04:21.774283+00:00","documents":[{"name":"BASON ADV PART 2A ANNUAL AMENDMENT 01.17.24","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1010576","versionId":1010576,"submittedOn":"2026-02-20"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"San Francisco, CA","smaAssets":603064000}],"custodyNote":"Bason Asset Management has custody of $98.3M in client assets for 44 clients.","otherCustodians":[],"leadership":[{"name":"James Osborne","title":"Managing Member/CCO","crd":"4907938"}],"ownership":[{"label":"James Osborne","detail":"Managing member/cco in the 75% or more ownership band and a control person, since August 2012."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":2,"privateResidences":1},"listedOfficeAddresses":2,"foreignOffices":[],"officesByState":[{"state":"Colorado","offices":1,"addresses":[{"street":"355 S. Teller St., Suite 200","city":"Lakewood","headquarters":true}]},{"state":"Missouri","offices":1,"addresses":[{"street":"1302 Platte Falls RD","city":"Platte City"}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"720-446-8555","stateRegisteredReps":2,"otherAdviserReps":0,"compensation":["Fixed fees (other than subscription fees)"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Pension consulting services"],"financialPlanningClients":"101-250","assetMix":[{"label":"Exchange-traded equity securities","percent":11},{"label":"Non-exchange-traded equity securities","percent":1},{"label":"U.S. government/agency bonds","percent":1},{"label":"Investment grade corporate bonds","percent":1},{"label":"Securities issued by registered investment companies or business development companies","percent":84},{"label":"Cash and cash equivalents","percent":1}],"privateFunds":0},"sources":{"adv1FilingDate":"20 February 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/165450/PDF/165450.pdf","brochureDate":"20 February 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1010576","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 Bason Asset Management have?","answer":"Bason Asset Management has 139 clients and manages $849 million for them, as of February 2026. They include 120 high-net-worth individuals, 15 individual clients, and 4 pension and profit-sharing plans.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 20 February 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Bason Asset Management offer?","answer":"Bason Asset Management provides financial planning, 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 Bason Asset Management use?","answer":"Bason Asset Management’s separately managed account assets are held at Charles Schwab & Co., Inc. (San Francisco, CA), with $603M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 20 February 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Bason Asset Management have?","answer":"Bason Asset Management has 2 investment adviser representatives registered with state securities authorities, out of 2 employees, and 2 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 Bason Asset Management invest in?","answer":"At the end of its last fiscal year, Bason Asset Management’s separately managed accounts held 84% registered funds (mutual funds, ETFs, BDCs), 11% exchange-traded equities, 1% non-exchange-traded equities, 1% U.S. government and agency bonds, 1% investment grade corporate bonds and 1% 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 Bason Asset Management?","answer":"Bason Asset Management’s direct owner is James Osborne (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 20 February 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Bason Asset Management get paid?","answer":"Bason Asset Management is paid through fixed fees. Its Form ADV lists no commissions or performance-based fees 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 Bason Asset Management?","answer":"Bason Asset Management’s main office is at 355 S. Teller St., Suite 200, Lakewood, CO 80226. Its phone number is 720-446-8555. Its website is basonasset.com.","source":"Form ADV Part 1A, Item 1.F, filed 20 February 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."}