Hedge Fund Database

BROADVIEW FINANCIAL MANAGEMENT, LLC

Adviser information for BROADVIEW FINANCIAL MANAGEMENT, LLC 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 Liability Company
Fiscal Year End DECEMBER
Legal Location Wisconsin, United States

Employees

Total Number of Employees 9
Investment Advisory/Research 6
Registered Broker-Dealer Representatives 0
Registered State Investment Advisers 5
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 1,281 $548.2M
Non-Discretionary 3 $738,796
Total 1,284 $549.0M

Clients

Type Number RAUM
Individuals 85 $59.1M
HNW Individuals 172 $486.3M
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 0 $0
Charitable organizations <5 $3.6M
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 97
No. of Non-U.S. Clients 0
No. of Financial Planning Clients 101-250

Services

Advisory Services Financial planningPortfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers)Educational seminars/workshops
Compensation % of AUMHourly charges

Identifiers

SEC RIA File Number 801-77625
SEC ERA File Number 801-77625
SEC CIK Numbers 1697024
SEC CRD Numbers 143550
Legal Entity Identifier None

Principal Office

10401 W INNOVATION DR
SUITE 100
WAUWATOSA
WI
United States
Monday - Friday, 8:30 AM - 4:30 PM
Tel: 414-390-1492, Fax: 414-390-3737

Websites

www.unbiasedfeeonly.com www.sjafa.com www.sjafinancialadvisory.com broadviewfinancial.com www.linkedin.com/company/broadview-financial-management-llc

Chief Compliance Officer

ANGELA L. PINGEL
GENERAL COUNSEL, SHAREHOLDER
10401 W INNOVATION DR
SUITE 100
WAUWATOSA
WI
United States
Tel: 414-390-1496
Fax: 414-390-3737
(Full email address available in API data)

Regulatory Contact

JOSEPH B. DAILEY
CHIEF INVESTMENT OFFICER, SHAREHOLDER
10401 W INNOVATION DR
SUITE 100
WAUWATOSA
WI
United States
Tel: 414-390-1585
Fax: 414-390-3737
(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
DAILEY, JOSEPH, BANFAY Individual – OWNER, MANAGER & CIO 01/2015 25-50%
GOIHL, MATTHEW, PAUL Individual – OWNER & MANAGER 01/2015 25-50%
DODGE, ADAM, WILLIAM Individual – OWNER & MANAGER 09/2016 10-25%
TAYLOR, AMANDA, HUNN Individual – OWNER & MANAGER 01/2019 10-25%
PINGEL, ANGELA, LYNNE Individual – OWNER, MANAGER, GENERAL COUNSEL & CCO 03/2020 5-10%

No. Employees, Historic

10502020202120222023202420259 on 3/30/20208 on 6/29/20208 on 3/31/20219 on 3/31/20229 on 10/12/20229 on 10/13/20229 on 3/30/20239 on 3/27/2024

RAUM, Historic

600M300M0202020212022202320242025438853224 on 3/30/2020438853224 on 6/29/2020468909040 on 3/31/2021535530651 on 3/31/2022535530651 on 10/12/2022535530651 on 10/13/2022465309589 on 3/30/2023548972855 on 3/27/2024

No. Clients, Historic

3001500202020212022202320242025237 on 3/30/2020237 on 6/29/2020239 on 3/31/2021246 on 3/31/2022246 on 10/12/2022246 on 10/13/2022252 on 3/30/2023257 on 3/27/2024

Holdings

From latest 13F, filed July 31st, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
POWERSHARES QQQ TR ETF 261K 544 0
VANGUARD EXTENDED MARKET ETF ETF 218K 1K 0
VANGUARD REIT INDEX ETF ETF 3M 30K 0
SPDR S&P 500 ETF TRUST ETF 202K 371 0
ISHARES RUSSELL 2000 VALUE ETF 470K 3K 0
ISHARES RUSSELL 1000 GROWTH ETF ETF 2M 5K 0
SCHWAB U.S. BROAD MARKET ETF ETF 315K 5K 0
SCHWAB INTERNATIONAL EQUITY ETF ETF 584K 15K 0
SCHWAB U.S. LARGE-CAP ETF ETF 3M 47K 0
ISHARES US REAL ESTATE ETF ETF 2M 23K 0
SCHWAB U.S. LARGE-CAP GROWTH ETF ETF 3M 32K 0
ISHARES S&P SMALLCAP 600 ETF ETF 1M 13K 0
SCHWAB EMERGING MARKETS EQUITY ETF ETF 837K 32K 0
SCHWAB U.S. LARGE-CAP VALUE ETF ETF 2M 31K 0
VANGUARD S&P 500 ETF ETF 851K 2K 0
SPDR S&P MIDCAP 400 ETF TRUST ETF 588K 1K 0
SPDR S&P 400 MID CAP GROWTH ETF ETF 1M 16K 0
SPDR S&P 400 MID CAP VALUE ETF ETF 657K 9K 0
ISHARES RUSSELL MIDCAP VALUE INDEX ETF 2M 13K 0
ISHARES RUSSELL 2000 ETF ETF 892K 4K 0
ISHARES TRUST CORE MSCI TOTAL INTL STK ETF ETF 934K 14K 0
ISHARES CORE MSCI EAFE ETF 19M 266K 0
ISHARES CORE MSCI EMERGING MKTS ETF 7M 127K 0
VANGUARD TOTAL BOND MARKET ETF ETF 11M 147K 0
FIDELITY ENHANCED LARGE CAP CORE ETF ETF 1M 36K 0
VANGUARD TOTAL INTERNATIONAL BOND ETF ETF 2M 38K 0
ISHARES TR RUSSELL MIDCAP INDEX FD ETF 393K 5K 0
ISHARES S&P SMALL-CAP 600 GROWTH ETF ETF 3M 21K 0
ISHARES S&P 500 VALUE ETF ETF 11M 59K 0
ISHARES S&P 500 GROWTH ETF ETF 10M 107K 0
ISHARES S&P 500 INDEX ETF 15M 27K 0
SPDR PORTFOLIO EMERGING MARKETS ETF ETF 818K 22K 0
VANGUARD FTSE DEVELOPED MARKETS ETF ETF 6M 119K 0
ISHARES S&P SMALLCAP 600 VALUE ETF ETF 3M 34K 0
ISHARES S&P MID-CAP 400 GROWTH ETF ETF 9M 104K 0
ISHARES S&P MIDCAP 400 VALUE ETF ETF 5M 45K 0
SPDR BLOOMBERG HIGH YIELD BOND ETF ETF 258K 3K 0
ISHARES CORE S&P MID CAP ETF ETF 2M 40K 0
ISHARES RUSSELL 1000 ETF ETF 2M 7K 0
ISHARES RUSSELL 1000 VALUE ETF ETF 4M 26K 0