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Upper Basin Capital, LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$2,842,393
Clients
0
Advisors
1
of 1 employees
Firm type
Independent
1 advisor
Clients per advisor
0
Average account size
—
About
Upper Basin Capital, LLC provides discretionary asset management through separately managed accounts for institutional mandates and individual investors, including both high-net-worth and non-high-net-worth clients. The firm offers tailored portfolio management intended to address income generation, capital preservation, and liquidity needs and may negotiate account customizations and client-imposed restrictions.
The firm follows a systematic, quantitative investment process that emphasizes short- and medium-term option strategies—primarily equity index options and defined-risk option spreads—implemented alongside cash instruments, ETFs, and, more recently, U.S. Treasury bills. Strategies are actively managed at the portfolio level using specialized software and research, and they can involve derivative positions and the use of margin in separately managed accounts.
Noteworthy distinctions include the explicit use of derivatives and margin within separately managed accounts, a practice that is less common among firms in this category, and the firm’s acceptance of individual clients at multiple wealth levels in addition to institutional work. The firm operates with a single portfolio decision-maker who maintains significant outside employment and engages in personal trading activity, disclosures that create identifiable key-person and personal-trading considerations addressed by the firm’s policies.
Client services
Portfolio management
Expertise
Options & derivatives strategies
Fee options
0.00% to 1.50% annually (negotiable within this range)
10% to 20% of the annual increase in net asset value, subject to high-water mark and hurdle rate (10-year Treasury Bond yield plus 3.00%), negotiable
Account minimum: $25,000 minimum account size (may be waived at firm's discretion)
Main office location
Upper Basin Capital, LLC
Steamboat Springs CO, United States
Number of offices
1
Most active in
Upper Basin Capital, LLC has reported serving >5 clients in these states in the last 12 months.
Colorado
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:
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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.
Forms ADV
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