Banta Asset Management LP

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Client assets under management

$127,424,476

Clients

117

54% high-net worth

Advisors

of 4 employees

Firm type

Supported

1-3 advisors or $200M+ in AUM

Clients per advisor

Low

Average account size

$1,089,098

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

Financial planning Portfolio management

Expertise

Concentrated stock management Passive / index investing Active portfolio management

Fee options

Fixed

Fixed fee for Financial Planning Services depending on scope

Percentage

0.25% to 2.00% annually based on the scope and complexity of services

Project-based

$350 per hour for Financial Planning and Consulting Services, generally negotiable

Other

Account minimum: $500,000

Main office location

Banta Asset Management LP

517 30 Th Street

Newport Beach CA 92663, United States

Number of offices

Most active in

California · Texas · Washington

Disclosures

Business activities & affiliations

Is not active or affiliated with:

Insurance agent

They sell insurance products and may earn commissions on those sales.

Broker-dealer / trader

They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.

Bank

They're affiliated with a bank that may offer its own financial products and services.

Trust company

They provide trust and estate administration services, typically for separate fees.

Fund sponsor

They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.

Accountant / CPA / tax prep

They offer tax and accounting services, typically for separate fees.

Lawyer

They provide legal services, typically billed separately.

Real estate agent

They facilitate real estate transactions and may earn commissions.

Other specialized services

They may provide services such as pension consulting or municipal advisory work, typically for separate fees.

Forms ADV

Form ADV Part 2: Client Brochure Form ADV Part 3: Client Relationship

Quick links

Website 949-673-9944

Advisors at this firm

Stephen B

Series 63, Series 65

Newport Beach, CA

Banta Asset Management LP

Stephen 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 designations. The firm serves individual and high-net-worth investors, trusts, estates, pension plans, charitable organizations, and businesses by providing discretionary investment management, financial planning, and consulting. Banta Asset Management focuses on customized portfolio construction using exchange-traded funds, individual equities, fixed-income securities, and other instruments tailored to client objectives and risk tolerance.

Concentrated stock management Passive / index investing Active portfolio management

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.

Concentrated stock management Passive / index investing Active portfolio management

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.

Concentrated stock management Passive / index investing Active portfolio management

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