9AT: BASON ASSET MANAGEMENT

Adviser Profile

As of Date	02/20/2026
Registration	SEC, Approved, 02/12/2016
Other registrations (2)	Colorado, Terminated, 12/01/2016 Texas, Terminated, 11/28/2016
ADV Location	LAKEWOOD, CO, United States
Contact Info	720 xxxxxxx
Websites

AUM^*	848,804,132 37%
of that, discretionary	845,906,132 37%
Number of Employees	2
of those in investment advisory functions	2
Private Fund GAV^*	0
Avg Account Size	1,010,481 18%
% High Net Worth	86.33% 24%
SMA’s	Yes
Private Funds	0

Adviser Type

- Large advisory firm

Client Types

- Individuals (other than high net worth individuals)
- High net worth individuals
- Pension and profit sharing plans

Advisory Activities

- Financial planning services
- Portfolio management for individuals and/or small businesses
- Pension consulting services

Compensation Arrangments

- Fixed fees (other than subscription fees)

Adviser	Hedge Fund	Liquidity Fund	Private Equity Fund	Real Estate Fund	Securitized Asset Fund	Venture Capital Fund	Other Fund	Total Private Fund GAV	AUM	#Funds
Adviser POINCIANA ADVISORS GROUP, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM396.0m	#Funds-
Adviser THE NORTHSTAR GROUP, INC.	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM1.0b	#Funds-
Adviser MORSE CAPITAL PARTNERS, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM246.1m	#Funds-
Adviser CRANBROOK WEALTH MANAGEMENT, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM906.8m	#Funds-
Adviser BARNETT & CO INC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM142.0m	#Funds-
Adviser TRELLIS WEALTH ADVISORS, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM479.8m	#Funds-
Adviser JOURNEY STRATEGIC WEALTH LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM4.6b	#Funds-
Adviser MCBROOM & ASSOCIATES, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM242.1m	#Funds-
Adviser PRIVATE WEALTH PARTNERS, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM1.9b	#Funds-
Adviser JACOBSEN CAPITAL MANAGEMENT	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM562.9m	#Funds-

Brochure Summary

Overview

Bason Asset Management (Bason) was formed in 2012 in Lakewood, Colorado. The principal owner is James Osborne. We have no public or privately-owned affiliated companies. Bason provides portfolio management and financial planning services, including investment advice to individuals and families and ERISA retirement plans. Portfolio management services, provided under Bason’s Asset Management Agreement, include initially reviewing clients’ existing investment portfolios and other data, developing an investment policy statement, providing investment recommendations consistent with clients’ stated financial objectives, and implementing these recommendations at a third-party custodian (see Custody on page 8). Portfolio management services also include the ongoing monitoring of the investment portfolio, including quarterly account performance reporting, asset allocation analysis and updating, rebalancing and tax-loss harvesting recommendations, and annual portfolio review meetings with clients. Investment recommendations are primarily limited to open-end mutual funds and exchange-traded funds, but we also serve to help clients with existing positions in individual stocks. We do not advise our clients to invest in individual stocks and bonds. All client portfolios are customized and built for each individual relationship, although many clients will hold similar securities and allocations. The portfolio construction process begins with a discussion

of the client's goals and risk tolerance to determine a suitable long-term investment portfolio. We do not participate in wrap fee programs and investment management fees are not linked to a client's portfolio value. Bason provides fiduciary services, including 3(21) and 3(38) fiduciary services, to ERISA retirement plans, including profit sharing 401(k) plans and defined benefit plans. These services include investment plan offering review and selection, model portfolio development, monitoring and management and regular compliant reporting to plan sponsors. Reporting includes plan benchmarking and 408(b)(2) fee and service disclosure. Financial planning services include retirement income planning, education funding planning, stock compensation planning, insurance needs analysis, multi-generational financial planning, and philanthropic planning. When Bason provides investment advice to you regarding your retirement plan account or individual retirement account, we are fiduciaries within the meaning of Title I of the Employee Retirement Income Security Act and/or the Internal Revenue Code, as applicable, which are laws governing retirement accounts. Bason operates under a special rule that requires us to act in your best interest and not put our interest ahead of yours. As of December 31, 2022, Bason had assets under management of $568,108,000 in discretionary assets and $5,827,000 in non-discretionary assets.

BASON ASSET MANAGEMENT

BASON ASSET MANAGEMENT

BASON ASSET MANAGEMENT LLC

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Similar advisers

Brochure Summary

Overview

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BASON ASSET MANAGEMENT BASON ASSET MANAGEMENT BASON ASSET MANAGEMENT LLC

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Similar advisers

Brochure Summary

Overview

BASON ASSET MANAGEMENT

BASON ASSET MANAGEMENT

BASON ASSET MANAGEMENT LLC