# Broad Brook Financial

> Broad Brook Financial is a state-registered investment advisory firm, registered since 2018, with no regulatory assets under management reported in its Form ADV filing dated June 28, 2026.

- CRD: 173835
- Filed as: BROAD BROOK FINANCIAL
- Registration: State-registered investment adviser (status as filed: APPROVED)
- Location: Registered in Massachusetts
- Filing period: October 2026
- Form ADV filing dated: June 28, 2026
- Public record (IAPD): https://adviserinfo.sec.gov/firm/summary/173835
- AdvisorCensus page: https://advisorcensus.com/firm/broad-brook-financial-173835

## Quick answers

**How is Broad Brook Financial compensated?**
On its Form ADV (Item 5.E, October 2026), Broad Brook Financial reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees). The amounts are in Item 5 of its Form ADV Part 2A brochure.

**Is Broad Brook Financial registered with the SEC or a state?**
Broad Brook Financial is a state-registered investment advisory firm, registered since 2018. Status as filed: APPROVED. CRD 173835.

**Does Broad Brook Financial report any disciplinary disclosures?**
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/173835

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | Fewer than 5 | $0 |
| High net worth individuals | Fewer than 5 | $0 |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses

### Firm details
- Registered since: 2018 (8 years)
- Employees: 1 total, 1 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: MA
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- LinkedIn @carlosrodriguezbbf

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Broad Brook Financial (CRD 173835): Form ADV filing data as of October 2026.