Hedge Fund Database

BROADMARK ASSET MANAGEMENT LLC

Adviser information for BROADMARK ASSET MANAGEMENT LLC last updated from Form ADV on March 29th, 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 5
Investment Advisory/Research 4
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 3 $311.1M
Non-Discretionary 0 $0
Total 3 $311.1M

Clients

Type Number RAUM
Individuals 0 $0
HNW Individuals 0 $0
Banking or thrift institutions 0 $0
Investment companies 2 $307.6M
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 <5 $3.5M
Other 0 $0
Type Number
No. of Non-RAUM Clients 0
No. of Non-U.S. Clients 0

Services

Advisory Services Portfolio management for individuals and/or small businessesPortfolio management for investment companiesPortfolio management for businesses or institutional clientsMODEL PORTFOLIOS FOR WRAP ACCOUNT SPONSORS
Compensation % of AUMPerformance-based fees
Other Business Activities Commodity pool operator or commodity trading advisor

Identifiers

SEC RIA File Number 801-57807
SEC ERA File Number 801-57807
SEC CIK Numbers 1095952
SEC CRD Numbers 109422
Legal Entity Identifier 549300SOYGSKVHHIIW16

Principal Office

1808 WEDEMEYER STREET
SUITE 210
SAN FRANCISCO
CA
United States
Monday - Friday, 6:00 A.M. TO 2:00 P.M.
Tel: 415-925-4970, Fax: 415-925-4985

Websites

www.broadmarkasset.com www.linkedin.com/company/3492792

Chief Compliance Officer

JOHN A. EHINGER, JR.
WHG, SVP, HEAD OF LEGAL & CCO)
200 CRESCENT COURT
SUITE 1200
DALLAS
TX
United States
Tel: 2147502286
(Full email address available in API data)

Regulatory Contact

AMNA ALI KHAN
WHG, VP, DEPUTY CHIEF COMPLIANCE OFFICER
200 CRESCENT COURT
SUITE 1200
DALLAS
TX
United States
Tel: 2146249591
(Full email address available in API data)

Industry Affiliates

FORWARD SECURITIES, LLC Broker-dealer, municipal securities dealer, or gov securities broker or dealer
SALIENT ADVISORS, L.P. Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor
SALIENT CAPITAL L.P. Broker-dealer, municipal securities dealer, or gov securities broker or dealer
SALIENT ZARVONA II-A GP, LLC Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles
SALIENT ZARVONA II-B GP, LLC Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles
SALIENT ZARVONA II-C GP, LLC Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles
THE SALIENT ZARVONA ENERGY FUND GP, L.P. Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles
WESTWOOD MANAGEMENT CORP Other investment adviser, including financial planners
WESTWOOD TRUST Trust company
WESTWOOD WEALTH MANAGEMENT Other investment adviser, including financial planners
WHG PF HOLDCO, LLC Sponsor, GP, manager of pooled investment vehicles

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
None

Control Persons

Name Type Entity Title Since Ownership
HESPE, LAURA, AN Individual – CHIEF OPERATING OFFICER, MEMBER 01/2010 < 5%
HARDCASTLE, WILLIAM, RALPH Individual – MANAGER 11/2022 < 5%
WESTWOOD HOLDINGS GROUP, INC. Domestic Entity – MEMBER 11/2022 > 75%
EHINGER, JOHN, ANTHONY Individual – CHIEF COMPLIANCE OFFICER 03/2023 < 5%
DAMICO, RICHARD, PAUL Individual – CHIEF INVESTMENT OFFICER AND MEMBER 08/2023 < 5%
LINTON, DAVID, ONTHANK Individual – MANAGER 06/2023 < 5%
CORTEZ, RICARDO, LEE Individual – CEO, MANAGER AND MEMBER 08/2023 < 5%

No. Employees, Historic

105020192020202120222023202420258 on 7/10/20198 on 7/10/20198 on 10/28/20198 on 1/7/20208 on 2/12/20208 on 2/28/20208 on 6/24/20208 on 7/9/20208 on 9/22/20208 on 3/3/20218 on 3/24/20218 on 5/6/20218 on 10/25/20218 on 3/15/20228 on 12/2/20229 on 3/31/20239 on 4/3/20239 on 7/26/20239 on 7/31/20239 on 8/15/20239 on 8/15/20235 on 3/29/2024

RAUM, Historic

2B1B02019202020212022202320242025697526559 on 7/10/2019697526559 on 7/10/2019697526559 on 10/28/2019697526559 on 1/7/2020699674008 on 2/12/2020699674008 on 2/28/2020699674008 on 6/24/2020699674008 on 7/9/2020699674008 on 9/22/2020699674008 on 3/3/2021782877514 on 3/24/2021782877514 on 5/6/2021782877514 on 10/25/20211437628575 on 3/15/20221437628575 on 12/2/20221285565995 on 3/31/20231285565995 on 4/3/20231285565995 on 7/26/20231285565995 on 7/31/20231285565995 on 8/15/20231285565995 on 8/15/2023311052815 on 3/29/2024

No. Clients, Historic

105020192020202120222023202420252 on 7/10/20192 on 7/10/20192 on 10/28/20192 on 1/7/20202 on 2/12/20202 on 2/28/20202 on 6/24/20202 on 7/9/20202 on 9/22/20202 on 3/3/20212 on 3/24/20212 on 5/6/20212 on 10/25/20213 on 3/15/20223 on 12/2/20223 on 3/31/20233 on 4/3/20233 on 7/26/20233 on 7/31/20233 on 8/15/20233 on 8/15/20232 on 3/29/2024

Holdings

From latest 13F, filed February 13th, 2024 for period ending December 31st, 2023
Name Class Value $USD # Shares Private Fund
INVESCO EXCHANGE TRADED FD T S&P500 EQL WGT 80M 510K WESTWOOD MANAGEMENT CORP /TX