Basso Capital Management provides portfolio management for individuals and small businesses and portfolio management for pooled vehicles. The firm advises 1 private fund.
Basso Capital Management reports 115 clients. They include 66 high-net-worth individuals, 48 individual clients and 1 pooled investment vehicle. Of its assets, 37.5% ($960M across 111 accounts) are managed with discretion; $1.6B across 4 accounts are not.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 42% | <1% |
| High-net-worth individuals | 57% | 99% |
| Pooled investment vehicles | <1% | <1% |
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 48 | $23.6M | 0.9% | $492K |
| High-net-worth individuals | 66 | $2.53B | 99.1% | $38.4M |
| Pooled investment vehicles | 1 | $529K | 0.0% | $529K |
| Total | 115 | $2.56B | 100% | $22.2M |
- Clients
- 48
- Regulatory AUM
- $23.6M
- AUM share
- 0.9%
- Avg. per client
- $492K
- Clients
- 66
- Regulatory AUM
- $2.53B
- AUM share
- 99.1%
- Avg. per client
- $38.4M
- Clients
- 1
- Regulatory AUM
- $529K
- AUM share
- 0.0%
- Avg. per client
- $529K
Total
- Clients
- 115
- Regulatory AUM
- $2.56B
- AUM share
- 100%
- Avg. per client
- $22.2M
- Clients outside the U.S.
- 0%
- Clients advised without assets under management last fiscal year
- 0
- Private funds advised
- 1
Basso Capital Management charges 0.40%–1.00% a year for its Advisory Fees and Performance-Based Compensation. The fee is billed in advance and is negotiable.
Fee details and sources
Dwight Nelson owns 75% or more of Basso Capital Management. The leadership team of Basso Capital Management includes Chief Financial Officer Stephen Bowley and Chief Compliance Officer Harold Wofsey. It has 12 employees, 6 of them in advisory roles.
Leadership
- Stephen BowleyChief Financial Officer
- Harold WofseyChief Compliance Officer
- Dwight NelsonFounding Managing Partner
Investment adviser representatives
3 representatives listed in the SEC register as of 9 October 2026.
- Janet Marie Brown
- Mark Dea
- Rohan Ramesh Nayak
Staff
- 12 employees
- 6 in advisory functions
- 2 state-registered reps
- Owns 75% or more of Basso Capital Management, L.P.
Dwight Nelson
Control person · since January 2004
Basso Capital Management’s regulatory assets grew 4.2× from $608M (March 2021) to $2.56B (May 2026); clients rose from 4 to 115 and employees from 9 to 12.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | Employees | Offices |
|---|---|---|---|---|
| May 2026 | $2.56B | 115 | 12 | 4 |
| June 2025 | $2.23B | 11 | 8 | 3 |
| March 2024 | $1.61B | 8 | 7 | 1 |
| March 2023 | $1.46B | 8 | 7 | 1 |
| March 2022 | $1.09B | 6 | 9 | 1 |
| March 2021 | $608M | 4 | 9 | 1 |
Besides its headquarters, Basso Capital Management has 3 offices (1 private residence, listed without an address), with 3 listed addresses in the U.S. and abroad.
Connecticut · 1 listed address
- 1266 East Main Street, 4th Floor, StamfordHQ
Florida · 1 listed address
- 401 Las Olas BLVD, FT Lauderdale
International offices
- BERKELEY SQUARE HOUSE, LONDON, W1J 6BD, United Kingdom
Other business names
Basso Capital Management has reported 3 other business names to the SEC.
- Basso Capital Group
- Basso Family Office
- Basso Private Wealth
Contact and registration details
- Legal name
- Basso Capital Management, L.P.
- Headquarters
- 1266 East Main Street, 4th Floor, Stamford, CT 06902-3546
- Website
- bassocapital.com
- Phone
- 203-352-6100
- SEC file
- 801-64130
- Structure
- Delaware limited partnership
- Fiscal year end
- December
Basso Capital Management uses Pershing ($384M, 52%), Charles Schwab ($251M, 34%) and Fidelity ($107M, 14%) as custodians for its separately managed accounts. Basso Capital Management does not have custody of client assets.
- PershingPershing Advisor Solutions LLC · Jersey City, NJ · $384M52%
- Charles SchwabCharles Schwab & Co., Inc. · Westlake, TX · $251M34%
- FidelityFidelity Brokerage Services LLC · Smithfield, RI · $107M14%
At year end, Basso Capital Management’s separately managed accounts were mostly in stocks (52%) and bonds (23%). Its reported 13F holdings for the quarter ended 31 March 2026 total $163M across 137 positions; the largest are Vanguard S&P 500 ETF (20.1%), State Street SPDR S&P 500 ETF (10.7%) and Vanguard Total Stock Market ETF (9.9%).
What the accounts hold
- Stocks52%
- Funds16%
- Pooled vehicles15%
- Registered funds1%
- Bonds23%
- Investment grade corporate bonds16%
- High-yield corporate bonds5%
- U.S. government and agency bonds1%
- State and local bonds1%
- Cash6%
- Other4%
- Direct real estate investments4%
Reported 13F holdings
- $163M
- Reported 13F value
- 137
- Positions
- 71.3%
- In the 10 largest
- —
- Value vs. prior quarter
- Vanguard S&P 500 ETF · S&P 100 ETF Shs20.1%
- State Street SPDR S&P 500 ETF · TR Unit10.7%
- Vanguard Total Stock Market ETF · Total Stk Mkt9.9%
- SPDR Gold Shares · Gold Shs6.3%
- iShares Russell 2000 ETF · Russell 2000 ETF6.2%
- Invesco S&P 500 Equal Weight ETF · S&P500 Eql Wgt5.7%
- Pgim Aaa Clo ETF · Aaa Clo ETF5.3%
- Mplx LP Com Unit Rep Ltd · Com Unit Rep Ltd2.5%
- Energy Transfer L P Com UT Ltd Ptn · Com UT Ltd Ptn2.3%
- iShares Silver Trust · iShares2.3%
Together, the ten largest are 71.3% of reported value.
How many clients does Basso Capital Management have?
Basso Capital Management has 115 clients and manages $2.56 billion for them, as of May 2026. They include 66 high-net-worth individuals, 48 individual clients and 1 pooled investment vehicle.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 29 May 2026
What services does Basso Capital Management offer?
Basso Capital Management provides portfolio management for individuals and small businesses and portfolio management for pooled vehicles.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file
How much does Basso Capital Management charge?
Basso Capital Management charges 0.40%–1.00% a year for its Advisory Fees and Performance-Based Compensation. The fee is billed in advance and is negotiable.
Source: BASSO CAPITAL MANAGEMENT, L.P. FORM ADV PART 2A, filed 27 March 2026
Which custodians does Basso Capital Management use?
Basso Capital Management’s separately managed account assets are held at Pershing Advisor Solutions LLC (Jersey City, NJ), with $384M, Charles Schwab & Co., Inc. (Westlake, TX), with $251M and Fidelity Brokerage Services LLC (Smithfield, RI), with $107M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 29 May 2026
How many financial advisors does Basso Capital Management have?
Basso Capital Management has 2 investment adviser representatives registered with state securities authorities, out of 12 employees, and 6 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 Basso Capital Management invest in?
At the end of its last fiscal year, Basso Capital Management’s separately managed accounts held 52% exchange-traded equities, 16% investment grade corporate bonds, 15% pooled vehicles (private funds and similar), 6% cash and equivalents, 5% high-yield corporate bonds, 4% other, 1% U.S. government and agency bonds, 1% state and local bonds and 1% registered funds (mutual funds, ETFs, BDCs). The 4% other category is described as: Direct Real Estate Investments. It advises 1 private fund.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns Basso Capital Management?
Basso Capital Management’s direct owner is Dwight Nelson (75% or more).
Source: Form ADV Part 1A, Schedules A and B, filed 29 May 2026
How does Basso Capital Management get paid?
Basso Capital Management is paid through a percentage of assets under management, fixed fees 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
Is Basso Capital Management registered with the SEC?
Yes, Basso Capital Management has been registered with the SEC as an investment adviser since 12 April 2005. Its CRD number is 132311 and its SEC file number is 801-64130.
Source: Form ADV Part 1A, Item 1, filed 29 May 2026; IAPD firm record
How do I contact Basso Capital Management?
Basso Capital Management’s main office is at 1266 East Main Street, 4th Floor, Stamford, CT 06902-3546. Its phone number is 203-352-6100. Its website is bassocapital.com.