BROADWEALTH LLC
Adviser information for BROADWEALTH LLC last updated from Form ADV on February 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 | Massachusetts, United States |
Employees
| Total Number of Employees | 1 |
|---|---|
| Investment Advisory/Research | 1 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 1 |
| 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 | 54 | $48.4M |
| Non-Discretionary | 23 | $84.4M |
| Total | 77 | $132.8M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 8 | $1.2M |
| HNW Individuals | 6 | $128.5M |
| 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 | $3.2M |
| 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 | 11-25 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPension consulting servicesEducational seminars/workshops |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-129388 |
|---|---|
| SEC ERA File Number | 801-129388 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 304356 |
| Legal Entity Identifier | None |
Principal Office
7 WAINWRIGHT RDSUITE 18
WINCHESTER
MA
United States
BY APPOINTMENT ONLY, BY APPOINTMENT ONLY
Tel: 617-549-1990, Fax: None
Chief Compliance Officer
JENNIFER DOWLING DOUGHERTY
PRINCIPAL
7 WAINWRIGHT RD
SUITE 18
WINCHESTER
MA
United States
Tel:
617-549-1990
J*********@*****************M
(Full email address available in API data)
Regulatory Contact
JAMES CULLEN
PRESIDENT & SENIOR COMPLIANCE CONSULTANT
475 TAUTON AVE
EAST PROVIDENCE
RI
United States
Tel:
401-466-6010
Fax:
401-466-6012
J**@****************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 |
|---|---|---|---|---|---|
| DOUGHERTY, JENNIFER, DOWLING | Individual | – | PRINCIPAL AND CCO | 04/2019 | > 75% |