B
BAS Capital
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$117,010,925
Clients
20
100% high-net worth
Advisors
1
of 1 employees
Firm type
Independent
1 advisor
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
20
LowAverage account size
$5,850,546
About
BAS Capital is a single-advisor registered investment adviser that provides discretionary investment supervisory services to individuals, high‑net‑worth clients, pension and profit‑sharing plans, trusts, estates, and business entities. The firm’s business is almost entirely continuous portfolio management, with a small portion of engagements delivered as consultative advice.
The firm combines fundamental and technical research and uses a wide range of trading strategies — including long‑ and short‑term purchases, option strategies (including covered and uncovered writing and LEAPS), margin and short sales — while tailoring portfolios to each client’s stated risk tolerance and time horizon. Portfolios may feature sector overweighting, concentrated positions and occasional risk‑arbitrage trades, and the adviser typically manages accounts on a discretionary basis.
Distinctive features relative to many peers include the firm’s willingness to consider performance‑based fee arrangements for qualified clients and its engagement with retirement plan sponsors, with disclosures and procedures addressing ERISA/408(b)(2) and Form 5500 considerations. The firm also operates with a small client roster relative to its assets under management and has adopted specific custody safeguards for accounts with standing transfer authorizations.
Client services
Portfolio management
Pension consulting
Expertise
Active portfolio management
Options & derivatives strategies
Fee options
$0 - $1,000,000: 1.50% annually $1,000,001+: 1.00% annually
Performance-based fees may be charged for qualified clients with net worth over $2,000,000 or AUM of at least $1,000,000; rates are negotiable and charged in addition to asset-based fees.
Account minimum: $750,000 Fee-only: Negotiable fees based on assets under management, quarterly billing in advance, with possible start-up fees waived or negotiated.
Main office location
BAS Capital
Memphis TN, United States
Number of offices
1
Most active in
BAS Capital has reported serving >5 clients in these states in the last 12 months.
Georgia · Louisiana · Tennessee · Texas
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is not active or affiliated with:
-
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.
Forms ADV
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