BROADWAY WEALTH SOLUTIONS
BROADWAY WEALTH SOLUTIONS, INC. Legal Name
Adviser information for BROADWAY WEALTH SOLUTIONS last updated from Form ADV on March 15th, 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 | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Texas, United States |
Employees
| Total Number of Employees | 11 |
|---|---|
| Investment Advisory/Research | 11 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 11 |
| Licensed Agents of an Insurance Company | 9 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 1,019 | $189.4M |
| Non-Discretionary | 84 | $61.4M |
| Total | 1,103 | $250.8M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 546 | $103.3M |
| HNW Individuals | 115 | $133.6M |
| 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 | <5 | $135,398 |
| Charitable organizations | 5 | $3.7M |
| 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 | 23 | $10.1M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 690 |
| No. of Non-U.S. Clients | 100 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUM |
| Other Business Activities | Insurance broker or agent |
Identifiers
| SEC RIA File Number | 801-124953 |
|---|---|
| SEC ERA File Number | 801-124953 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 291753 |
| Legal Entity Identifier | None |
Principal Office
1177 N.E. LOOP 4105TH FLOOR
SAN ANTONIO
TX
United States
Monday - Friday, 9 AM - 5 PM
Tel: (210) 283-6600, Fax: (210) 283-6676
Chief Compliance Officer
KHRISTENE CANO
PRESIDENT
1177 N.E. LOOP 410
5TH FLOOR
SAN ANTONIO
TX
United States
Tel:
210-283-6600
Fax:
(210) 283-6676
K****@************K
(Full email address available in API data)
Regulatory Contact
CHRISTIAN ESCAMILLA
CEO
1177 NE LOOP 410
SAN ANTONIO
TX
United States
Tel:
2102836600
C*********@************K
(Full email address available in API data)
Industry Affiliates
| BROADWAY BANK | Banking or thrift institutionTrust company |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| BROADWAY NATIONAL BANK | Domestic Entity | – | OWNER | 12/2017 | > 75% |
| Escamilla, Christian, Ray | Individual | – | CHIEF EXECUTIVE OFFICER | 06/2020 | < 5% |
| CANO, KHRISTENE, ANN | Individual | – | CHIEF COMPLIANCE OFFICER/PRESIDENT | 01/2021 | < 5% |