DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Basso Capital Management, L.P.
Latest filing May 29, 2026
First filing on the tape Mar 30, 2012 · 22 filings
SEC status approved since Apr 12, 2005
RAUM
$2.6B
reported, Item 5.F
Discretionary
38%
of RAUM
Private clients
100%
$2.6B individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$853M
derived; firm RAUM over IAPD count
Employees
12
6 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
1
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$2.6B as of May 29, 2026
Mar 30, 2012$1.7B then
HNW client RAUM$2.5B as of May 29, 2026
Mar 26, 2021$0 then
State-registered IARs (5.B.3)2 as of May 29, 2026
Mar 28, 20130 then
Employees (5.A)12 as of May 29, 2026
Mar 28, 201321 then
Private funds1 as of May 29, 2026
Mar 30, 20124 then
RAUM +15% over the last fiscal year+20% a year over threeIARs 0 to 2offices 2 to 3
Practice profile
derived from the filing of May 29, 2026; every figure names its basis
Archetypes, each a printed rule
- Multi-family-office-like · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, average HNW client assets at least $25M, fewer than 200 HNW clients, and business name contains 'family office' or private funds are reported
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- RAUM per advisor
- $853MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 38derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $38.4MderivedHNW RAUM over HNW clients
- Average account
- $22.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 38%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.0derivedItem 5.A over advisors
- Advisors per office
- 0.8derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1040%derived
- Compensation
- percentage of assets, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for pooled vehiclesreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$2.5B99%
- Individuals$23.6M0.9%
- Pooled investment vehicles$529,0000.0%
- Individual clients
- 48reported
- HNW clients
- 66reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 115reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=true bd_reps=0.0 bank_owner=falsederived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Mark Dea | Stamford, Ct | Jun 26, 2025 | 20 y | 1 |
| Rohan Ramesh NayakCertified Financial Planner | Stamford, Ct | Jun 26, 2025 | 15 y | 3 |
| Janet Marie Brown | Stamford, Ct | Jan 1, 2026 | 32 y | 2 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- Janet Marie Brown from One Capital Management, LLCJan 1, 2026 · RIA to RIA
- Rohan Ramesh Nayak from One Capital Management, LLCJun 26, 2025 · RIA to RIA
- Mark Dea from One Capital Management, LLCJun 26, 2025 · RIA to RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from One Capital Management, LLCJun 10, 2025 · Westlake Village, Ca
Private funds
6 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Basso Spac Fund LLCno longer reported | Hedge Fund | $996M | 79 | Mar 30, 2012 |
| Basso Global Arb Holding Fund Ltd.no longer reported | Hedge Fund | $466M | 13 | Mar 30, 2012 |
| Basso Holdings Ltd.no longer reported | Hedge Fund | $445M | 34 | Mar 30, 2012 |
| Basso Select Opportunities Master Fund Ltd.no longer reported | Hedge Fund | $126M | 16 | Mar 29, 2017 |
| Basso Credit Opportunities Holding Fund Ltd.no longer reported | Hedge Fund | $39.8M | 8 | Mar 30, 2012 |
| Basso Select Co-Invest Program LP | $0 | 0 | May 29, 2026 |
Owners and control persons
Schedule A and B, latest filing
- Carlton Dwight Nelson · Founding Managing Partnercontrolsince 01/2004 · owns 75% or more
- Mitchell Stephen Bowley · Chief Financial Officersince 12/2008 · owns less than 5%
- Alan Marc Seidenberg · General Counsel & Chief Compliance Officersince 11/2009 · owns less than 5%
- Brent Harold Wofsey · Chief Compliance Officersince 05/2026 · owns less than 5%
Entity owners
- Basso Gp, LLC · General Partnerdirect · owns less than 5%
- Basso Management, LLC · General Partner Or Managing Memberdirect · owns less than 5%
Related persons
Schedule D 7.A
- Basso Associates Uk Limitedinvestment advisery
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Stamford, Ct · principal | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
4 against comparable advisers; where to look, not conclusions
- unusually large average accountStatic outlier · filing May 29, 2026RAUM per account of $22,244,234 against a peer median of $812,622 (1332 comparable advisers, 98.0th percentile, 14.5 robust deviations)peers: independent wealth managers, $1B to $5B (1,332) · 98% percentile
- unusually large average HNW clientStatic outlier · filing May 29, 2026HNW RAUM per HNW client of $38,392,874 against a peer median of $3,645,749 (1308 comparable advisers, 98.0th percentile, 17.2 robust deviations)peers: independent wealth managers, $1B to $5B (1,308) · 98% percentile
- very high RAUM per advisorStatic outlier · filing May 29, 2026RAUM per registered advisor of $852,695,638 against a peer median of $146,413,945 (1221 comparable advisers, 99.0th percentile, 7.1 robust deviations)peers: independent wealth managers, $1B to $5B (1,221) · 99% percentile
- control person changedChange between filings · filing May 29, 2026NELSON, DWIGHT, CARLTON (FOUNDING MANAGING PARTNER) left Schedule A between the filings of 2013-03-28 and 2026-05-29peers: independent wealth managers, $1B to $5B (1,360)
What changed
consecutive filings, newest first
- Accounts · 13 to 115Jun 25, 2025 to Mar 27, 2026
- Advisory employees · 4 to 6Jun 25, 2025 to Mar 27, 2026
- HNW clients · 7 to 66Jun 25, 2025 to Mar 27, 2026
- Individual clients · 3 to 48Jun 25, 2025 to Mar 27, 2026
- Employees · 8 to 12Jun 25, 2025 to Mar 27, 2026
- State-registered IARs · 0 to 2Jun 25, 2025 to Mar 27, 2026
- Other offices · 2 to 3Jun 25, 2025 to Mar 27, 2026
- Private funds · unset to 1Jun 25, 2025 to Mar 27, 2026
- Discretionary RAUM · $536M to $960MJun 25, 2025 to Mar 27, 2026
- HNW RAUM · $2.2B to $2.5BJun 25, 2025 to Mar 27, 2026
- Individual RAUM · $1.2M to $23.6MJun 25, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $1.7B to $1.6BJun 25, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $1.0M to $529,000Jun 25, 2025 to Mar 27, 2026
- RAUM · $2.2B to $2.6BJun 25, 2025 to Mar 27, 2026
- Financial planning clients · unset to Apr 11, 2025 to Jun 25, 2025
- Accounts · 10 to 13Mar 27, 2024 to Apr 11, 2025
- Advisory employees · 3 to 4Mar 27, 2024 to Apr 11, 2025
- Individual clients · 0 to 3Mar 27, 2024 to Apr 11, 2025
- Employees · 7 to 8Mar 27, 2024 to Apr 11, 2025
- Other offices · 0 to 2Mar 27, 2024 to Apr 11, 2025
- Discretionary RAUM · $457M to $536MMar 27, 2024 to Apr 11, 2025
- HNW RAUM · $1.6B to $2.2BMar 27, 2024 to Apr 11, 2025
- Individual RAUM · unset to 1245875.0Mar 27, 2024 to Apr 11, 2025
- Non-discretionary RAUM · $1.1B to $1.7BMar 27, 2024 to Apr 11, 2025
- Pooled vehicle RAUM · $1.1M to $1.0MMar 27, 2024 to Apr 11, 2025
- RAUM · $1.6B to $2.2BMar 27, 2024 to Apr 11, 2025
- Discretionary RAUM · $417M to $457MMar 30, 2023 to Mar 27, 2024
- HNW RAUM · $1.5B to $1.6BMar 30, 2023 to Mar 27, 2024
- Non-discretionary RAUM · $1.0B to $1.1BMar 30, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · $2.0M to $1.1MMar 30, 2023 to Mar 27, 2024
- RAUM · $1.5B to $1.6BMar 30, 2023 to Mar 27, 2024
- Accounts · 2 to 10Mar 28, 2022 to Mar 30, 2023
- Advisory employees · 5 to 3Mar 28, 2022 to Mar 30, 2023
- HNW clients · 4 to 7Mar 28, 2022 to Mar 30, 2023
- Pooled vehicle clients · 2 to 1Mar 28, 2022 to Mar 30, 2023
- Employees · 9 to 7Mar 28, 2022 to Mar 30, 2023
- Private funds · 1 to unsetMar 28, 2022 to Mar 30, 2023
- Discretionary RAUM · $1.1B to $417MMar 28, 2022 to Mar 30, 2023
- HNW RAUM · $92.3M to $1.5BMar 28, 2022 to Mar 30, 2023
- Non-discretionary RAUM · $0 to $1.0BMar 28, 2022 to Mar 30, 2023
Signals
11 dated events
- 2 advisors left One Capital Management, LLC (San Francisco, CA) for Basso Capital Management, L.P. within 6 daysJun 10, 2025 · Team lift-out · derived
- Basso Capital Management, L.P. reported RAUM $2.2B, up 39% from $1.6B (2024-03-27 to 2025-04-11)Apr 11, 2025 · RAUM change · derived
- Basso Capital Management, L.P. reported RAUM $1.5B, up 35% from $1.1B (2022-03-28 to 2023-03-30)Mar 30, 2023 · RAUM change · derived
- Irwin Howard Fischer (Ceo & Founding Managing Partner) no longer on Schedule A of Basso Capital Management, L.P. (listed 2022-03-28, absent 2023-03-30)Mar 30, 2023 · Control person left · inference
- Basso Capital Management, L.P. reported RAUM $1.1B, up 79% from $608.2M (2022-01-31 to 2022-03-28)Mar 28, 2022 · RAUM change · derived
- Basso Capital Management, L.P. reported RAUM $608.2M, up 65% from $369.5M (2020-03-24 to 2021-03-26)Mar 26, 2021 · RAUM change · derived
- Basso Capital Management, L.P. reported RAUM $369.5M, down 29% from $523.5M (2019-04-03 to 2020-03-24)Mar 24, 2020 · RAUM change · derived
- Raymond Philip Platek (Founding Managing Partner) no longer on Schedule A of Basso Capital Management, L.P. (listed 2019-04-03, absent 2020-03-24)Mar 24, 2020 · Control person left · inference
- Francis John Lepore (Founding Managing Partner) no longer on Schedule A of Basso Capital Management, L.P. (listed 2019-04-03, absent 2020-03-24)Mar 24, 2020 · Control person left · inference
- Basso Capital Management, L.P. reported RAUM $523.5M, down 60% from $1.3B (2018-03-29 to 2019-03-29)Mar 29, 2019 · RAUM change · derived
- Basso Capital Management, L.P. reported RAUM $1.3B, down 44% from $2.4B (2017-03-29 to 2018-03-29)Mar 29, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- Basso Capital Management, L.P. · Independent Sponsorsshared crd · capital_provider
- Basso Capital Management, L.P. · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- bassocap.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 203 352-6100reportedpublic record, Form ADV, May 29, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $853Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026