Banta Asset Management LP
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
Banta Asset Management serves individual and high-net-worth investors as well as trusts, estates, pension plans, charitable organizations, and businesses, offering discretionary investment management along with financial planning and consulting. The firm typically implements client portfolios primarily through exchange-traded funds while also advising on individual equities, fixed‑income securities, municipal bonds, and other instruments as appropriate.
Banta emphasizes customized portfolio construction based on each client’s objectives, risk tolerance, and time horizon, applying fundamental analysis along with technical, cyclical, and fixed‑income analysis where relevant. Portfolios are managed on a discretionary basis with diversification via ETFs, use of cash as a strategic asset, occasional short‑term trading, and the acceptance of concentrated equity positions in certain circumstances.
Compared with many peers, the firm operates with a small, family-controlled advisory team and discloses that its principals also serve as trustees for some clients, a separate trustee role that can involve limited custody responsibilities and separate trustee compensation. The firm requires a $500,000 account minimum (while permitting aggregation or waivers for family accounts), prefers a single qualified custodian relationship, and offers intermediary services for non-managed assets—features that may affect custody, trade execution, and aggregation practices relative to other supported firms.
Client services
Expertise
Fee options
Fixed fee for Financial Planning Services depending on scope
0.25% to 2.00% annually based on the scope and complexity of services
$350 per hour for Financial Planning and Consulting Services, generally negotiable
Account minimum: $500,000
Main office
See office517 30th Street
Newport Beach CA 92663
Advisors at this office
2
Offices (2)
Most active in
California · Idaho · Texas · Washington
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Advisors at this firm
Stephen B
Series 63, Series 65
Hailey, ID
Banta Asset Management LP
Stephen Banta is a financial advisor at Banta Asset Management LP with 28 years of industry experience. He holds Series 63 and Series 65 licenses and has worked at Banta Asset Management since 2007. His prior experience includes roles at Wells Fargo Advisors and Citigroup Global Markets. Banta Asset Management serves individual and high-net-worth investors, trusts, estates, pension plans, charitable organizations, and businesses. The firm offers discretionary investment management and financial planning, focusing on customized portfolios primarily constructed with exchange-traded funds and managed on a discretionary basis.
Michael B
Series 63, Series 65
Newport Beach, CA
Banta Asset Management LP
Michael Banta is a financial advisor at Banta Asset Management LP with 27 years of industry experience. He holds Series 63 and Series 65 licenses and has been with Banta Asset Management since 2007. The firm serves individual and high-net-worth investors, as well as trusts, estates, pension plans, charitable organizations, and businesses, providing discretionary investment management alongside financial planning and consulting. Banta Asset Management typically uses exchange-traded funds in client portfolios and emphasizes customized portfolio construction based on client objectives, risk tolerance, and time horizon.
Mark B
Series 63, Series 65
Newport Beach, CA
Banta Asset Management LP
Mark Banta is a financial advisor at Banta Asset Management LP with 27 years of industry experience. He has been with Banta Asset Management since 2007 and holds Series 63 and Series 65 licenses. Banta Asset Management serves individual and high-net-worth investors, trusts, estates, pension plans, charitable organizations, and businesses. The firm offers discretionary investment management along with financial planning and consulting, typically implementing portfolios primarily through exchange-traded funds while advising on individual equities, fixed-income securities, municipal bonds, and other instruments.
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