Disclosure Information
Banta Asset Management, LP (“Banta”) is an SEC registered investment adviser located in Newport, California. Banta may only transact business or render personalized investment advice in those states and international jurisdictions where we are registered, notice filed, or where we qualify for an exemption or exclusion from registration requirements.

The purpose of this web site is to provide general information on our products and services only and should not be construed as a solicitation to effect, or attempt to effect, either transactions in securities or the rendering of personalized investment advice over the Internet. Any communications with prospective clients residing in states or international jurisdictions where Banta and its advisory affiliates are not registered or licensed shall be limited so as not to trigger registration or licensing requirements.

Banta does not make any representations or warranties as to the accuracy, timeliness, suitability, completeness, or relevance of any information prepared by any unaffiliated third party, whether linked to Banta’s  web site or incorporated herein, and takes no responsibility therefor.  All such information is provided solely for convenience purposes only and all users thereof should be guided accordingly.

Certain portions of Banta’s web site (i.e. newsletters, articles, commentaries, etc.) may contain a discussion of, and/or provide access to, Banta’s (and those of other investment and non-investment professionals) positions and/or recommendations as of a specific prior date.  Due to various factors, including changing market conditions, such discussion may no longer be reflective of current position(s) and/or recommendation(s).  Moreover, no client or prospective client should assume that any such discussion serves as the receipt of, or a substitute for, personalized advice from Banta, or from any other investment professional. Banta is neither an attorney nor an accountant, and no portion of the web site content should be interpreted as legal, accounting or tax advice.

Each client and prospective client agrees, as a condition precedent to his/her/its access to Banta’s web site, to release and hold harmless Banta, its officers, directors, owners, employees and agents from any and all adverse consequences resulting from any of his/her/its actions and/or omissions which are independent of his/her/its receipt of personalized individual advice from Banta.

Outside Service Providers

Banta may refer clients to unaffiliated professionals for specific needs. At Banta, we do not have any agreements with individuals or companies that we refer clients to, and we do not receive any compensation for these referrals. Banta only refers clients to professionals we believe are competant and qualified in their field, but it is ultimately the client's responsibility to evaluate the providers, and it is solely the client's decision whether to engage a recommended firm. Clients are under no obligation to purchase any products or services through these professionals, and Banta has no control over the services provided by another firm.

If the client desires, Banta will work with these professionals or the client's other advisers (such as an accountant or attorney) to help confirm that the provider understands the client's investments and to coordinate services for the client. Banta will never share information with an unaffiliated professional unless first authorized by the client.

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