BROAD INVESTMENT SECURITIES LLC
Adviser information for BROAD INVESTMENT SECURITIES LLC last updated from Form ADV on March 1st, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | California, United States |
Employees
| Total Number of Employees | 2 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 2 | $200 |
| Non-Discretionary | 0 | $0 |
| Total | 2 | $200 |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | <5 | $200 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 100 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUMPerformance-based fees |
Identifiers
| SEC RIA File Number | 801-112127 |
|---|---|
| SEC ERA File Number | 801-112127 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 290775 |
| Legal Entity Identifier | None |
Principal Office
3F SI HUI DA SHA1008-B HUI HE NAN STREET, CHAOYANG DISTRICT
BEIJING
China
Monday - Friday, 9:00AM - 5:00PM
Tel: 001 6363182914, Fax: None
Websites
Chief Compliance Officer
ALI KAYA
3F SI HUI DA SHA
1008-B HUI HE NAN STREET, CHAOYANG DISTRICT
BEIJING
China
Tel:
0086 13788876388
M*****@******M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| BROAD SECURITIES LLC | Domestic Entity | – | OWNER | 08/2022 | > 75% |
| Kaya, Ali | Individual | – | CEO AND CCO | 08/2022 | < 5% |
| Cheng, Jiahui | Individual | – | GENERAL MANAGER | 08/2022 | < 5% |
| Kaya, Ali | Individual | BROAD SECURITIES LLC | MANAGING MEMBER | 03/2023 | 50-75% |
| Cheng, Jiahui | Individual | BROAD SECURITIES LLC | MANAGING MEMBER/OWNER | 03/2023 | 25-50% |