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
Bason Asset Management
Legal name Bason Asset Management LLC
Latest filing Feb 20, 2026
First filing on the tape Feb 12, 2016 · 29 filings
SEC status approved since Feb 12, 2016
RAUM
$849M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$840M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$424M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$849M as of Feb 20, 2026
Mar 21, 2016$108M then
HNW client RAUM$830M as of Feb 20, 2026
Feb 7, 2018$178M then
State-registered IARs (5.B.3)2 as of Feb 20, 2026
Mar 21, 20161 then
Employees (5.A)2 as of Feb 20, 2026
Mar 21, 20161 then
Private funds: no history
RAUM +21% over the last fiscal year+14% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Feb 20, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $424MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 68derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $6.9MderivedHNW RAUM over HNW clients
- Average account
- $1.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 0.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +21%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -9.4%derived
- Compensation
- fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Custody
- $98.3M, 44 clientsreportedItem 9.A
- 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$830M98%
- Individuals$9.5M1.1%
- Pension and profit-sharing plans$9.3M1.1%
- Individual clients
- 15reported
- HNW clients
- 120reported
- Pension plan clients
- 4reported
- Charitable clients
- n/areported
- Accounts
- 840reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $98.3M for 44 clientsreported
- Compensation
- fixedreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| James Daniel OsborneCertified Financial Planner | Lakewood, Co | Nov 23, 2012 | 21 y | 2 |
| Mckenzie Lynn EbbesenCertified Financial Planner | Lakewood, Co | Aug 12, 2019 | 17 y | 2 |
Advisor movement
0 left, 0 joined in 12 months
net 0 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
- Mckenzie Lynn Ebbesen from Hightower Advisors, LLCAug 12, 2019 · Affiliated broker-dealer or bank to independent RIA
- James Daniel Osborne from M. J. Smith And AssociatesNov 23, 2012 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Daniel James Osborne · Managing Member/Ccocontrolsince 08/2012 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Lakewood, Co · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Morgantown, WV1 employees
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 780 to 840Sep 26, 2025 to Feb 20, 2026
- HNW clients · 107 to 120Sep 26, 2025 to Feb 20, 2026
- Individual clients · 42 to 15Sep 26, 2025 to Feb 20, 2026
- Assets in custody · $77.9M to $98.3MSep 26, 2025 to Feb 20, 2026
- Discretionary RAUM · $698M to $846MSep 26, 2025 to Feb 20, 2026
- HNW RAUM · $657M to $830MSep 26, 2025 to Feb 20, 2026
- Individual RAUM · $33.7M to $9.5MSep 26, 2025 to Feb 20, 2026
- Non-discretionary RAUM · $2.6M to $2.9MSep 26, 2025 to Feb 20, 2026
- Pension RAUM · $9.4M to $9.3MSep 26, 2025 to Feb 20, 2026
- RAUM · $701M to $849MSep 26, 2025 to Feb 20, 2026
- Accounts · 723 to 780Nov 4, 2024 to Feb 19, 2025
- HNW clients · 109 to 107Nov 4, 2024 to Feb 19, 2025
- Individual clients · 44 to 42Nov 4, 2024 to Feb 19, 2025
- Assets in custody · $55.0M to $77.9MNov 4, 2024 to Feb 19, 2025
- Financial planning clients · 101-250 to 101-250Nov 4, 2024 to Feb 19, 2025
- Discretionary RAUM · $616M to $698MNov 4, 2024 to Feb 19, 2025
- HNW RAUM · $592M to $657MNov 4, 2024 to Feb 19, 2025
- Individual RAUM · $18.1M to $33.7MNov 4, 2024 to Feb 19, 2025
- Non-discretionary RAUM · $1.8M to $2.6MNov 4, 2024 to Feb 19, 2025
- Pension RAUM · $8.3M to $9.4MNov 4, 2024 to Feb 19, 2025
- RAUM · $618M to $701MNov 4, 2024 to Feb 19, 2025
- Accounts · 784 to 723Sep 1, 2023 to Jan 17, 2024
- HNW clients · 101 to 109Sep 1, 2023 to Jan 17, 2024
- Individual clients · 28 to 44Sep 1, 2023 to Jan 17, 2024
- Pension plan clients · 10 to 4Sep 1, 2023 to Jan 17, 2024
- Assets in custody · $95.0M to $55.0MSep 1, 2023 to Jan 17, 2024
- Financial planning clients · 51-100 to 101-250Sep 1, 2023 to Jan 17, 2024
- Discretionary RAUM · $568M to $616MSep 1, 2023 to Jan 17, 2024
- HNW RAUM · $536M to $592MSep 1, 2023 to Jan 17, 2024
- Individual RAUM · $22.8M to $18.1MSep 1, 2023 to Jan 17, 2024
- Non-discretionary RAUM · $5.8M to $1.8MSep 1, 2023 to Jan 17, 2024
- Pension RAUM · $15.1M to $8.3MSep 1, 2023 to Jan 17, 2024
- RAUM · $574M to $618MSep 1, 2023 to Jan 17, 2024
- Accounts · 741 to 784Feb 2, 2022 to Feb 14, 2023
- Charity clients · 10.0 to unsetFeb 2, 2022 to Feb 14, 2023
- HNW clients · 98 to 101Feb 2, 2022 to Feb 14, 2023
- Individual clients · 26 to 28Feb 2, 2022 to Feb 14, 2023
- Pension plan clients · 8 to 10Feb 2, 2022 to Feb 14, 2023
- Assets in custody · $63.9M to $95.0MFeb 2, 2022 to Feb 14, 2023
- Financial planning clients · 101-250 to 51-100Feb 2, 2022 to Feb 14, 2023
Signals
3 dated events
- Bason Asset Management reported RAUM $590.4M, up 34% from $439.6M (2021-11-10 to 2022-02-02)Feb 2, 2022 · RAUM change · derived
- Bason Asset Management reported RAUM $439.6M, up 32% from $332.7M (2020-10-26 to 2021-01-25)Jan 25, 2021 · RAUM change · derived
- Bason Asset Management filed its initial SEC registration (Form ADV)Feb 12, 2016 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business phone
- 720-446-8555reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 720-900-1013reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- BASONASSET.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 720-446-8555reportedpublic record, Form ADV, Feb 20, 2026
- Contact form
- basonasset.com/contactreportedpublished by the firm, firm site, Sep 15, 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
- $424Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026