BROADOAK ASSET MANAGEMENT, LLC
Adviser information for BROADOAK ASSET MANAGEMENT, LLC last updated from Form ADV on March 27th, 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 | Delaware, United States |
Employees
| Total Number of Employees | 8 |
|---|---|
| Investment Advisory/Research | 8 |
| Registered Broker-Dealer Representatives | 3 |
| Registered State Investment Advisers | 5 |
| 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 | 8 | $371.0M |
| Non-Discretionary | 0 | $0 |
| Total | 8 | $371.0M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 8 | $371.0M |
| 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 | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for pooled investment vehicles |
|---|---|
| Compensation | % of AUMPerformance-based fees |
| Other Business Activities | Registered representative of a broker-dealer |
Identifiers
| SEC RIA File Number | 801-121842 |
|---|---|
| SEC ERA File Number | 801-121842 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 148901 |
| Legal Entity Identifier | None |
Principal Office
4800 MONTGOMERY LANESUITE 230
BETHESDA
MD
United States
Monday - Friday, 9-5
Tel: 301-358-2692, Fax: None
Websites
Chief Compliance Officer
HOLLY ATALLAH
CCO
4800 MONTGOMERY LANE
SUITE 230
BETHESDA
MD
United States
Tel:
9176485743
H*******@***********M
(Full email address available in API data)
Industry Affiliates
| BROADOAK PARTNERS, LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| BROADOAK BIOTOOLS VENTURE FUND, LLC | Venture Capital Fund | $16.1M | $0.3M | 19 |
| BROADOAK CAPITAL 2016A LLC | Private Equity Fund | $35.7M | $0.0M | 27 |
| BROADOAK CAPITAL 2018B | Private Equity Fund | $7.3M | $0.1M | 31 |
| BROADOAK CAPITAL 2019C | Private Equity Fund | $8.1M | $0.0M | 35 |
| BROADOAK FUND III, LLC | Private Equity Fund | $25.3M | $0.1M | 49 |
| BROADOAK FUND IV | Private Equity Fund | $78.9M | $0.1M | 49 |
| BROADOAK FUND V | Private Equity Fund | $137.0M | $0.1M | 75 |
| BROADOAK INCOME FUND, L.P. | Private Equity Fund | $62.7M | $0.5M | 17 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| HANAN, LARS, MARTIN | Individual | BROADOAK CAPITAL PARTNERS, LLC | MANAGING MEMBER | 01/2007 | |
| BROADOAK CAPITAL PARTNERS, LLC | Domestic Entity | – | MANAGING MEMBER | 11/2008 | > 75% |
| SNIDER, WILLIAM, FRANKLIN | Individual | – | MANAGING PARTNER | 11/2008 | < 5% |
| SNIDER, WILLIAM, FRANKLIN | Individual | BROADOAK CAPITAL PARTNERS, LLC | MANAGING MEMBER | 01/2007 | 25-50% |
| WILSON, DONALD, KYLE | Individual | BROADOAK CAPITAL PARTNERS, LLC | OWNER/PARTNER | 12/2018 | 25-50% |
| RESEARCH CORPORATION TECHNOLOGIES, INC. | Domestic Entity | BROADOAK CAPITAL PARTNERS, LLC | MEMBER | 05/2021 | |
| ATALLAH, HOLLY, SCOTT | Individual | – | CHIEF COMPLIANCE OFFICER | 03/2102 | < 5% |