BANTA ASSET MANAGEMENT LP — 13F Holdings & Portfolio
CIK 1426960 · latest 13F-HR filed 2026-11-02
BANTA ASSET MANAGEMENT LP manages $111.9M in 13F-reported U.S. long-equity assets across 18 reported positions as of its 2026-09-30 13F-HR filing. Its largest disclosed positions are QQQ (32.44%), VOO (26.44%), BSJR (6.46%). Quarter over quarter (versus its 2026-06-30 filing) the fund opened 1 new position and exited 3; 4 existing positions rose in reported value and 4 fell.
AUM is the long-equity portion reported on Form 13F-HR. Excludes short positions, cash, foreign holdings, and non-13F assets. For informational purposes only — not investment advice.
Loading holdings…
AUM
$111.9M
Long-equity book
Holdings
18
Distinct positions
Period
2026-09-30
Filed 2026-11-02
Q/Q Activity
+1 / −3 / ↑4 / ↓4
vs 2026-06-30
Portfolio charts
Latest quarter's book, what changed, and how the portfolio has evolved across filings.
Portfolio map
Q3 26Box size = position value; colour = change in share count vs the prior quarter (green added, red trimmed, blue new). Rows split across managers or share classes are combined. Click a box for the stock.
Sector mix
% of 13F valueSectors from each company's SIC code; funds and ETFs grouped separately.
Biggest buys and sells
Q2 26 → Q3 26Estimated from the change in shares held × the quarter-end price, so price moves alone don't count as buying. New and exited positions are included.
13F assets and positions
4 quartersTotal reported 13F value (bars) and number of positions (line) each quarter. Value changes include market moves.
Top positions over time
reported valueThe eight largest current positions, valued at each quarter end.
Concentration
top 10 = 94.9%Cumulative share of the portfolio held in the largest N positions.
Firm Profile & Key People
As of the firm’s regulatory filing dated Oct 14, 2026.
Assets Under Management
$128.7M
Discretionary
$128.7M
Employees
4
Accounts
211
| Name | Title / Status | Ownership | Type |
|---|---|---|---|
| BANTA CAPITAL MANAGEMENT, LLC Control | GENERAL PARTNER since Jun 2004 | Less than 5% | Domestic Entity |
| BANTA FAMILY TRUST U/A/D 12/01/02 Control | LIMITED PARTNER since Jun 2004 | 25–50% | Domestic Entity |
| BANTA, STEPHEN, MATTHEW Control | CHIEF COMPLIANCE OFFICER since Jun 2004 | Less than 5% | Individual |
| M BANTA & S BANTA TTEE MICHAEL & SARA BANTA TRUST U/A DTD 08/19/2004 Control | LIMITED PARTNER since Dec 2018 | 25–50% | Domestic Entity |
| THE STEPHEN AND PAMELA BANTA FAMILY TRUST U/A DTD 06/16/2015 Control | LIMITED PARTNER since Jun 2004 | 25–50% | Domestic Entity |
| BANTA FAMILY TRUST U/A/D 12/01/02 Control Indirect owner via BANTA CAPITAL MANAGEMENT, LLC | MANAGING MEMBER since Jun 2004 | 25–50% | Domestic Entity |
| BANTA, KIMBERLE, MALONE Control Indirect owner via BANTA FAMILY TRUST U/A/D 12/01/02 | TRUSTEE since Dec 2002 | General partner, trustee or manager | Individual |
| BANTA, MARK, DAVID Control Indirect owner via BANTA FAMILY TRUST U/A/D 12/01/02 | TRUSTEE since Dec 2002 | General partner, trustee or manager | Individual |
| BANTA, MICHAEL, BEALE Control Indirect owner via M BANTA & S BANTA TTEE MICHAEL & SARA BANTA TRUST U/A DTD 08/19/2004 | TRUSTEE since Dec 2018 | General partner, trustee or manager | Individual |
| BANTA, PAMELA, GEORGE Control Indirect owner via THE STEPHEN AND PAMELA BANTA FAMILY TRUST U/A DTD 06/16/2015 | TRUSTEE since Jun 2015 | General partner, trustee or manager | Individual |
| BANTA, SARA, WARMINGTON Control Indirect owner via M BANTA & S BANTA TTEE MICHAEL & SARA BANTA TRUST U/A DTD 08/19/2004 | TRUSTEE since Dec 2018 | General partner, trustee or manager | Individual |
| BANTA, STEPHEN, MATTHEW Control Indirect owner via THE STEPHEN AND PAMELA BANTA FAMILY TRUST U/A DTD 06/16/2015 | TRUSTEE since Dec 2002 | General partner, trustee or manager | Individual |
| DAVID & STEPHANIE BANTA FAMILY TRUST U/A/D 09/29/1997 Control Indirect owner via BANTA CAPITAL MANAGEMENT, LLC | MANAGING MEMBER since Jun 2004 | 25–50% | Domestic Entity |
| M BANTA & S BANTA TTEE MICHAEL & SARA BANTA TRUST U/A DTD 08/19/2004 Control Indirect owner via BANTA CAPITAL MANAGEMENT, LLC | MANAGING MEMBER since Dec 2018 | General partner, trustee or manager | Domestic Entity |
| THE STEPHEN AND PAMELA BANTA FAMILY TRUST U/A DTD 06/16/2015 Control Indirect owner via BANTA CAPITAL MANAGEMENT, LLC | MANAGING MEMBER since Jun 2004 | 25–50% | Domestic Entity |
Ownership & leadership changes · 6 filings with changes since Mar 14, 2012
From the firm’s regulatory filings, newest first. Dates are filing dates: a filing that no longer lists someone does not say when they left.
Jan 31, 2019 filing
- No longer listedBANTA, MICHAEL, BEALE · LIMITED PARTNER · 25–50% · control person · listed since Jun 2004
- No longer listedBANTA, MICHAEL, BEALE · MANAGING MEMBER · 25–50% · indirect via BANTA CAPITAL MANAGEMENT, LLC · control person · listed since Jun 2004
- AddedBANTA, MICHAEL, BEALE · TRUSTEE · General partner, trustee or manager · indirect via M BANTA & S BANTA TTEE MICHAEL & SARA BANTA TRUST U/A DTD 08/19/2004 · control person
- AddedBANTA, SARA, WARMINGTON · TRUSTEE · General partner, trustee or manager · indirect via M BANTA & S BANTA TTEE MICHAEL & SARA BANTA TRUST U/A DTD 08/19/2004 · control person
- AddedM BANTA & S BANTA TTEE MICHAEL & SARA BANTA TRUST U/A DTD 08/19/2004 · LIMITED PARTNER · 25–50% · control person
- AddedM BANTA & S BANTA TTEE MICHAEL & SARA BANTA TRUST U/A DTD 08/19/2004 · MANAGING MEMBER · General partner, trustee or manager · indirect via BANTA CAPITAL MANAGEMENT, LLC · control person
Feb 29, 2016 filing
- No longer listedBANTA, STEPHEN, MATTHEW · TRUSTEE · General partner, trustee or manager · indirect via STEPHEN M. BANTA TRUST U/A/D 12-19-02 · control person · listed since Dec 2002
- AddedBANTA, STEPHEN, MATTHEW · TRUSTEE · General partner, trustee or manager · indirect via THE STEPHEN AND PAMELA BANTA FAMILY TRUST U/A DTD 06/16/2015 · control person
Nov 5, 2015 filing
- No longer listedSTEPHEN M. BANTA TRUST U/A/D 12/19/02 · LIMITED PARTNER · 25–50% · control person · listed since Jun 2004
- No longer listedSTEPHEN M. BANTA TRUST U/A/D 12/19/02 · MANAGING MEMBER · 25–50% · indirect via BANTA CAPITAL MANAGEMENT, LLC · control person · listed since Jun 2004
- AddedBANTA, PAMELA, GEORGE · TRUSTEE · General partner, trustee or manager · indirect via THE STEPHEN AND PAMELA BANTA FAMILY TRUST U/A DTD 06/16/2015 · control person
- AddedTHE STEPHEN AND PAMELA BANTA FAMILY TRUST U/A DTD 06/16/2015 · LIMITED PARTNER · 25–50% · control person
- AddedTHE STEPHEN AND PAMELA BANTA FAMILY TRUST U/A DTD 06/16/2015 · MANAGING MEMBER · 25–50% · indirect via BANTA CAPITAL MANAGEMENT, LLC · control person
Feb 26, 2015 filing
- No longer listedBANTA, KIMBERLE, MALONE · CO-TRUSTEE · General partner, trustee or manager · indirect via BANTA FAMILY TRUST U/A/D 12/19/02 · control person · listed since Dec 2002
- No longer listedBANTA, MARK, DAVID · CO-TRUSTEE · General partner, trustee or manager · indirect via BANTA FAMILY TRUST U/A/D 12/19/02 · control person · listed since Dec 2002
- No longer listedDAVID & STEPHANIE BANTA FAMILY TRUST U/A/D 9-29-1997 · MANAGING MEMBER · 25–50% · indirect via BANTA CAPITAL MANAGEMENT, LLC · control person · listed since Jun 2004
- AddedBANTA, KIMBERLE, MALONE · TRUSTEE · General partner, trustee or manager · indirect via BANTA FAMILY TRUST U/A/D 12/01/02 · control person
- AddedBANTA, MARK, DAVID · TRUSTEE · General partner, trustee or manager · indirect via BANTA FAMILY TRUST U/A/D 12/01/02 · control person
- AddedDAVID & STEPHANIE BANTA FAMILY TRUST U/A/D 09/29/1997 · MANAGING MEMBER · 25–50% · indirect via BANTA CAPITAL MANAGEMENT, LLC · control person
Oct 3, 2014 filing
- No longer listedBANTA, MARK, DAVID · PRINCIPAL · Less than 5% · control person · listed since Jun 2004
- ChangedBANTA, KIMBERLE, MALONE · indirect via BANTA FAMILY TRUST U/A/D 12/19/02: ownership 50–75% → General partner, trustee or manager
- ChangedBANTA, MARK, DAVID · indirect via BANTA FAMILY TRUST U/A/D 12/19/02: ownership 50–75% → General partner, trustee or manager
- ChangedBANTA, STEPHEN, MATTHEW · indirect via STEPHEN M. BANTA TRUST U/A/D 12-19-02: ownership 75% or more → General partner, trustee or manager
Dec 12, 2013 filing
- No longer listedBANTA FAMILY TRUST U/A/D 12/19/02 · LIMITED PARTNER · 25–50% · control person · listed since Jun 2004
- No longer listedBANTA FAMILY TRUST U/A/D 12/19/02 · MANAGING MEMBER · 25–50% · indirect via BANTA CAPITAL MANAGEMENT, LLC · control person · listed since Jun 2004
- No longer listedBANTA, DAVID, DONALD · PRINCIPAL · Less than 5% · control person · listed since Jun 2004
- AddedBANTA FAMILY TRUST U/A/D 12/01/02 · LIMITED PARTNER · 25–50% · control person
- AddedBANTA FAMILY TRUST U/A/D 12/01/02 · MANAGING MEMBER · 25–50% · indirect via BANTA CAPITAL MANAGEMENT, LLC · control person
Mar 14, 2012 filing (earliest on record)
- ListedBANTA CAPITAL MANAGEMENT, LLC · GENERAL PARTNER · Less than 5% · control person
- ListedBANTA FAMILY TRUST U/A/D 12/19/02 · LIMITED PARTNER · 25–50% · control person
- ListedBANTA FAMILY TRUST U/A/D 12/19/02 · MANAGING MEMBER · 25–50% · indirect via BANTA CAPITAL MANAGEMENT, LLC · control person
- ListedBANTA, DAVID, DONALD · PRINCIPAL · Less than 5% · control person
- ListedBANTA, KIMBERLE, MALONE · CO-TRUSTEE · 50–75% · indirect via BANTA FAMILY TRUST U/A/D 12/19/02 · control person
- ListedBANTA, MARK, DAVID · PRINCIPAL · Less than 5% · control person
- ListedBANTA, MARK, DAVID · CO-TRUSTEE · 50–75% · indirect via BANTA FAMILY TRUST U/A/D 12/19/02 · control person
- ListedBANTA, MICHAEL, BEALE · LIMITED PARTNER · 25–50% · control person
- ListedBANTA, MICHAEL, BEALE · MANAGING MEMBER · 25–50% · indirect via BANTA CAPITAL MANAGEMENT, LLC · control person
- ListedBANTA, STEPHEN, MATTHEW · CHIEF COMPLIANCE OFFICER · Less than 5% · control person
- ListedBANTA, STEPHEN, MATTHEW · TRUSTEE · 75% or more · indirect via STEPHEN M. BANTA TRUST U/A/D 12-19-02 · control person
- ListedDAVID & STEPHANIE BANTA FAMILY TRUST U/A/D 9-29-1997 · MANAGING MEMBER · 25–50% · indirect via BANTA CAPITAL MANAGEMENT, LLC · control person
- ListedSTEPHEN M. BANTA TRUST U/A/D 12/19/02 · LIMITED PARTNER · 25–50% · control person
- ListedSTEPHEN M. BANTA TRUST U/A/D 12/19/02 · MANAGING MEMBER · 25–50% · indirect via BANTA CAPITAL MANAGEMENT, LLC · control person
Quarter-over-quarter changes
Changes in reported position value vs the prior 13F, so price moves count too, not just shares bought or sold.
Top Adds (vs prior quarter)
- APPLE INC$786.9K +13.9%
- NVIDIA CORPORATION$563.4K +22.4%
- MICROSOFT CORP$225.3K +37.5%
- STATE STR SPDR S&P 500 ETF T$180.4K +8.2%
Top Trims
- VERITONE INC-$587.3K -16.3%
- STATE STR SPDR DOW JONES IND-$93.8K -9.0%
- TESLA INC-$59.8K -15.6%
- ISHARES TR-$21.6K -5.9%
Exited Positions
- ISHARES TR$1.9M
- INVESCO EXCHANGE TRADED FD T$1.6M
- INVESCO EXCH TRADED FD TR II$782.5K
BANTA ASSET MANAGEMENT LP Holdings (2026-09-30)
Rows tagged Call or Put are options positions, not stock. Per SEC Form 13F-HR, Value shows the notional value of the underlying (shares covered × underlying price), not the option premium. Shares is the number of underlying shares covered (divide by 100 for contract count).
| # | Issuer | Symbol | CUSIP | Value | Weight | Shares | Type |
|---|---|---|---|---|---|---|---|
| 1 | INVESCO QQQ TR | QQQ | 46090E103 | $36.3M | 32.44% | 49,058 | SH |
| 2 | VANGUARD INDEX FDS | VOO | 922908363 | $29.6M | 26.44% | 42,197 | SH |
| 3 | INVESCO EXCH TRD SLF IDX FD | BSJR | 46138J585 | $7.2M | 6.46% | 326,885 | SH |
| 4 | INVESCO EXCH TRD SLF IDX FD | BSJS | 46138J452 | $7.1M | 6.34% | 331,320 | SH |
| 5 | INVESCO EXCH TRD SLF IDX FD | BSJT | 46138J395 | $6.6M | 5.94% | 321,670 | SH |
| 6 | APPLE INC | AAPL | 037833100 | $6.4M | 5.75% | 19,329 | SH |
| 7 | INVESCO EXCH TRD SLF IDX FD | BSJQ | 46138J635 | $4.4M | 3.96% | 194,233 | SH |
| 8 | NVIDIA CORPORATION | NVDA | 67066G104 | $3.1M | 2.75% | 13,480 | SH |
| 9 | VERITONE INC | VERI | 92347M100 | $3.0M | 2.70% | 2,541,058 | SH |
| 10 | STATE STR SPDR S&P 500 ETF T | SPY | 78462F103 | $2.4M | 2.14% | 3,133 | SH |
| 11 | SPACE EXPLORATION TECHN CORP | SPCX | 84615Q103 | $2.0M | 1.76% | 13,015 | SH |
| 12 | STATE STR SPDR DOW JONES IND | DIA | 78467X109 | $953.0K | 0.85% | 1,874 | SH |
| 13 | MICROSOFT CORP | MSFT | 594918104 | $826.3K | 0.74% | 1,611 | SH |
| 14 | VANGUARD INDEX FDS | VTI | 922908769 | $617.5K | 0.55% | 1,650 | SH |
| 15 | ISHARES TR | PFF | 464288687 | $374.4K | 0.33% | 12,690 | SH |
| 16 | ISHARES TR | HYG | 464288513 | $346.3K | 0.31% | 4,485 | SH |
| 17 | TESLA INC | TSLA | 88160R101 | $322.5K | 0.29% | 909 | SH |
| 18 | COSTCO WHOLESALE CORPORATION | COST | 22160K105 | $273.1K | 0.24% | 300 | SH |
Filing History
| Period | Filed | AUM | Holdings | Accession |
|---|---|---|---|---|
| 2026-09-30 | 2026-11-02 | $111.9M | 18 | 0001426960-26-000008 |
| 2026-06-30 | 2026-07-22 | $112.0M | 20 | 0001426960-26-000007 |
| 2026-03-31 | 2026-05-07 | $99.5M | 20 | 0001426960-26-000006 |
| 2025-12-31 | 2026-02-09 | $109.7M | 17 | 0001426960-26-000005 |
Filer Information
Address
517 30TH STREETNEWPORT BEACH, CA 92663
Phone
(949) 673-9944
Filing Manager
BANTA ASSET MANAGEMENT LP
NEWPORT BEACH, CA
Signatory
STEPHEN M. BANTA
PARTNER