Hedge Fund Database

BROADWOOD CAPITAL, INC

Adviser information for BROADWOOD CAPITAL, INC 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 Corporation
Fiscal Year End DECEMBER
Legal Location New York, 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 1 $1.2B
Non-Discretionary 0 $0
Total 1 $1.2B

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 2 $1.2B
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 1
No. of Non-U.S. Clients 0

Services

Advisory Services Portfolio management for pooled investment vehiclesSelection of other advisers (including private fund managers)
Compensation % of AUMFixed feesPerformance-based fees

Identifiers

SEC RIA File Number 801-73853
SEC ERA File Number 801-73853
SEC CIK Numbers 1278387
SEC CRD Numbers 159286
Legal Entity Identifier None

Principal Office

142 WEST 57TH STREET
11TH FLOOR
NEW YORK
NY
United States
Monday - Friday, 9:00 AM - 5:00 PM
Tel: 212-508-5735, Fax: 212 508-5756

Websites

www.broadwoodcapital.com

Chief Compliance Officer

NEAL C. BRADSHER
PRESIDENT
142 WEST 57TH STREET
11TH FLOOR
NEW YORK
NY
United States
Tel: (212) 508-5735
Fax: (212) 508-5756
(Full email address available in API data)

Regulatory Contact

JASON MARTIN
VICE PRESIDENT-OPERATIONS
142 WEST 57TH STREET
11TH FLOOR
NEW YORK
NY
United States
Tel: (212) 508-5733
Fax: (212) 508-5756
(Full email address available in API data)

Industry Affiliates

None

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
BROADWOOD PARTNERS, L.P. Hedge Fund $1,224.2M $1.0M 66

Control Persons

Name Type Entity Title Since Ownership
BRADSHER, NEAL, CLIFTON Individual – PRESIDENT / CHIEF COMPLIANCE OFFICER 02/2002 > 75%

No. Employees, Historic

10502020202120222023202420255 on 3/28/20205 on 12/15/20206 on 3/31/20217 on 3/31/20227 on 3/31/20235 on 3/29/2024

RAUM, Historic

2B1B0202020212022202320242025933020158 on 3/28/2020933020158 on 12/15/20201756382403 on 3/31/20211849878039 on 3/31/20221301065766 on 3/31/20231224233537 on 3/29/2024

No. Clients, Historic

10502020202120222023202420252 on 3/28/20202 on 12/15/20202 on 3/31/20212 on 3/31/20222 on 3/31/20232 on 3/29/2024

Holdings

From latest 13F, filed August 13th, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
AXON ENTERPRISE INC COM 224M 760K BROADWOOD PARTNERS, L.P.
ISHARES TR RUSSELL 2000 ETF 115M 566K BROADWOOD PARTNERS, L.P.
LINEAGE CELL THERAPEUTICS IN COM 42M 42M BROADWOOD PARTNERS, L.P.
MONSTER BEVERAGE CORP NEW COM 414M 8M BROADWOOD PARTNERS, L.P.
ONCOCYTE CORP COM NEW 15M 5M BROADWOOD PARTNERS, L.P.
SERINA THERAPEUTICS INC COM SHS 816K 85K BROADWOOD PARTNERS, L.P.
STAAR SURGICAL CO COM PAR $0.01 513M 11M BROADWOOD PARTNERS, L.P.