Stephen Banta
Banta Asset Management · Newport Beach, California
Stephen Banta is a fee-only financial advisor at Banta Asset Management in Newport Beach, California. Banta Asset Management reports charging a percentage of assets, hourly fees and fixed fees on its Form ADV.
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Facts
| Firm | Banta Asset Management |
|---|---|
| Based in | Newport Beach, California |
| Fee model (firm's Form ADV) | Percentage of assets · Hourly · Fixed fees |
| Assets under management | $128.7M across 211 accounts |
| SEC registration | Investment adviser representative in CA, ID, TX · CRD 2491994 |
| Exams passed | Series 63 (1994) · Series 65 (1994) |
| Firm size | 4 employees |
| Disclosures | None reported |
| Website | www.bantaassetmanagement.com |
| Profile |
How Stephen's firm compares
- Banta Asset Management's average account is about $610,000, from its Form ADV (assets managed divided by 211 accounts).
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Questions about Stephen
Is Stephen Banta a fee-only financial advisor?
Yes, according to SEC records as of October 29, 2026: Stephen holds no broker registration, and Banta Asset Management reports no commissions, no broker-dealer, and no insurance sales or affiliated insurance agency on its Form ADV.
How does Stephen charge for financial advice?
Stephen's firm, Banta Asset Management, reports charging a percentage of assets, hourly fees and fixed fees on its SEC Form ADV.
Where is Stephen Banta based?
Stephen Banta is based in Newport Beach, California.
Is Stephen Banta registered with the SEC?
Yes. Stephen Banta is registered as an investment adviser representative in CA, ID and TX (CRD 2491994), per SEC Investment Adviser Public Disclosure data as of October 29, 2026.
How much does Banta Asset Management manage?
Banta Asset Management reports $128.7M across 211 accounts in assets under management.
How do I contact Stephen Banta?
Through Stephen's website, www.bantaassetmanagement.com.
What these terms mean: fee-only · fiduciary · CFP · CRD number · all terms
Where this information comes from
- SEC adviser records : the firm's Form ADV reports no commissions, no broker-dealer, and no insurance sales or affiliated insurance agency, and the advisor holds no broker registration
- SEC Investment Adviser Public Disclosure : registration, exams, and the firm's Form ADV, data as of October 29, 2026
- Directory listing last checked October 30, 2026.
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