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
Banner Capital Management, LLC
Latest filing May 8, 2026
First filing on the tape Jun 20, 2024 · 6 filings
SEC status approved since Jul 19, 2024
RAUM
$619M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
5 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
6
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$619M as of May 8, 2026
Mar 25, 2025$522M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of May 8, 2026
Mar 25, 20250 then
Employees (5.A)7 as of May 8, 2026
Mar 25, 20257 then
Private funds6 as of May 8, 2026
Mar 25, 20259 then
RAUM +19% over the last fiscal yearIARs 0 to 0offices 0 to 1
Practice profile
derived from the filing of May 8, 2026; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $103MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +0.9%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $527M, 6 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$619M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 6reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $527M for 6 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
8 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Pattern Preferred Investors, LLC | Other Private Fund | $255M | 59 | Jun 20, 2024 |
| Banner Clean Partners, LLC | Other Private Fund | $98.5M | 42 | Jun 20, 2024 |
| Banner Manscaped Partners, LLC | Other Private Fund | $22.2M | 23 | Jun 20, 2024 |
| Banner Premier Partners, LLC | Other Private Fund | $16.6M | 21 | Jun 20, 2024 |
| Aa-Beam Investors, LLC | Other Private Fund | $9.2M | 25 | Jun 20, 2024 |
| Banner Route Partners, LLC | Other Private Fund | $6.7M | 14 | Jun 20, 2024 |
| Banner Pura Partners, LLC | Other Private Fund | $5.0M | 14 | Jun 20, 2024 |
| Banner Oxg Partners, LLC | Other Private Fund | $2.5M | 22 | Jun 20, 2024 |
Owners and control persons
Schedule A and B, latest filing
- David Tanner Ainge · Chief Executive Officer, Manager, And Membercontrolsince 01/2021 · owns 75% or more
- Joseph Mark Broadbent · Chief Compliance Officercontrolsince 03/2023 · owns less than 5%
Related persons
Schedule D 7.A
- Banner Founders, LLCpooled vehicle sponsorn
- Banner Print Partners Gp, LPpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Discretionary RAUM · $527M to $619MMar 27, 2026 to May 8, 2026
- Pooled vehicle RAUM · $527M to $619MMar 27, 2026 to May 8, 2026
- RAUM · $527M to $619MMar 27, 2026 to May 8, 2026
- Accounts · 9 to 6Aug 14, 2025 to Mar 27, 2026
- Pooled vehicle clients · 9 to 6Aug 14, 2025 to Mar 27, 2026
- Assets in custody · $523M to $527MAug 14, 2025 to Mar 27, 2026
- Other offices · 0 to 1Aug 14, 2025 to Mar 27, 2026
- Private funds · 9 to 6Aug 14, 2025 to Mar 27, 2026
- Discretionary RAUM · $523M to $527MAug 14, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $523M to $527MAug 14, 2025 to Mar 27, 2026
- RAUM · $523M to $527MAug 14, 2025 to Mar 27, 2026
- Assets in custody · $522M to $523MMar 25, 2025 to Jun 2, 2025
- Financial planning clients · unset to Mar 25, 2025 to Jun 2, 2025
- Discretionary RAUM · $522M to $523MMar 25, 2025 to Jun 2, 2025
- Pooled vehicle RAUM · $522M to $523MMar 25, 2025 to Jun 2, 2025
- RAUM · $522M to $523MMar 25, 2025 to Jun 2, 2025
- Accounts · 8 to 9Jun 20, 2024 to Mar 25, 2025
- Advisory employees · 6 to 5Jun 20, 2024 to Mar 25, 2025
- Pooled vehicle clients · 8 to 9Jun 20, 2024 to Mar 25, 2025
- Assets in custody · $415M to $522MJun 20, 2024 to Mar 25, 2025
- Private funds · 8 to 9Jun 20, 2024 to Mar 25, 2025
- Discretionary RAUM · $415M to $522MJun 20, 2024 to Mar 25, 2025
- Pooled vehicle RAUM · $415M to $522MJun 20, 2024 to Mar 25, 2025
- RAUM · $415M to $522MJun 20, 2024 to Mar 25, 2025
Signals
2 dated events
- Banner Capital Management, Llc reported RAUM $522.5M, up 26% from $415.5M (2024-06-20 to 2025-03-25)Mar 25, 2025 · RAUM change · derived
- Banner Capital Management, Llc filed its initial SEC registration (Form ADV)Jun 20, 2024 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- Banner Capital Management, LLC · Independent Sponsorsshared crd · capital_provider
- Banner Capital Management, LLC · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/banner-capreportedpublic record, Form ADV, Sep 18, 2026
- Website
- bannercap.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 801-290-3333reportedpublic record, Form ADV, May 8, 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
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026