BROADRIVER ASSET MANAGEMENT, L.P.
Adviser information for BROADRIVER ASSET MANAGEMENT, L.P. 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 Partnership |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 22 |
|---|---|
| Investment Advisory/Research | 7 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 1 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 9 | $1.7B |
| Non-Discretionary | 0 | $0 |
| Total | 9 | $1.7B |
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 | 9 | $1.7B |
| 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 |
Identifiers
| SEC RIA File Number | 801-72019 |
|---|---|
| SEC ERA File Number | 801-72019 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 155792 |
| Legal Entity Identifier | None |
Principal Office
350 FIFTH AVENUESUITE 3100
NEW YORK
NY
United States
Monday - Friday, 9:00 AM - 6:00 PM
Tel: 212-486-0600, Fax: 877-323-7648
Chief Compliance Officer
LISA CHUN
GENERAL COUNSEL
350 FIFTH AVENUE
SUITE 3100
NEW YORK
NY
United States
Tel:
212-486-0600
L****@****************M
(Full email address available in API data)
Regulatory Contact
PHILIP SILLER
CO-CEO
350 FIFTH AVENUE
SUITE 3100
NEW YORK
NY
United States
Tel:
212-486-0600
P******@****************M
(Full email address available in API data)
Industry Affiliates
| BROADRIVER 2014, L.P. | Sponsor, GP, manager of pooled investment vehicles |
| BROADRIVER 2015, L.P. | Sponsor, GP, manager of pooled investment vehicles |
| BROADRIVER 2017 LP | Sponsor, GP, manager of pooled investment vehicles |
| BROADRIVER 2021 LP | Sponsor, GP, manager of pooled investment vehicles |
| BROADRIVER LF 2019 LP | Sponsor, GP, manager of pooled investment vehicles |
| BROADRIVER LSC 2021 LP | Sponsor, GP, manager of pooled investment vehicles |
| DIAMOND LS GP LP | Sponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| AXL WEALTH GROUP L.P. | Private Equity Fund | $119.1M | $0.0M | 7 |
| BROADRIVER II-A, L.P. | ALTERNATIVE FIXED INCOME/PRIVATE CREDIT | $130.7M | $150.0M | 1 |
| BROADRIVER II, L.P. | ALTERNATIVE FIXED INCOME/PRIVATE CREDIT | $103.8M | $10.0M | 8 |
| BROADRIVER III, L.P. | ALTERNATIVE FIXED INCOME/PRIVATE CREDIT | $902.8M | $10.0M | 44 |
| BROADRIVER IV LAGUNA 2022 LP | ALTERNATIVE FIXED INCOME/PRIVATE CREDIT | $41.1M | $0.0M | 3 |
| BROADRIVER IV LP | ALTERNATIVE FIXED INCOME/PRIVATE CREDIT | $322.0M | $10.0M | 5 |
| BROADRIVER LIFE SETTLEMENTS CREDIT FUND I LP | ALTERNATIVE FIXED INCOME/PRIVATE CREDIT | $81.5M | $10.0M | 2 |
| BROADRIVER LITIGATION FINANCE I LP | Private Equity Fund | $18.5M | $1.0M | 3 |
| DIAMOND LS I LP | ALTERNATIVE FIXED INCOME/PRIVATE CREDIT | $43.0M | $10.0M | 6 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| PLEVIN, ANDREW, HOWARD | Individual | – | CO-CHIEF EXECUTIVE OFFICER | 02/2011 | 25-50% |
| SILLER, PHILIP, JOSEPH | Individual | – | CO-CHIEF EXECUTIVE OFFICER | 02/2011 | 25-50% |
| BRAM GP, LLC | Domestic Entity | – | GENERAL PARTNER | 02/2011 | < 5% |
| PLEVIN, ANDREW, HOWARD | Individual | BRAM GP, LLC | MEMBER | 02/2011 | 50-75% |
| SILLER, PHILIP, JOSEPH | Individual | BRAM GP, LLC | MEMBER | 02/2011 | 50-75% |
| LOUIE, DAVID | Individual | – | MANAGING DIRECTOR, COO | 11/2022 | < 5% |
| CHUN, LISA | Individual | – | GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER | 08/2022 | < 5% |