# Broad Investment Securities LLC

> Broad Investment Securities LLC is an SEC-registered investment advisory firm in Beijing, China, registered since 2018, reporting under $25 million in regulatory assets under management in its Form ADV filing dated May 6, 2026.

- CRD: 290775
- Filed as: BROAD INVESTMENT SECURITIES LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Beijing, China
- Filing period: October 2026
- Form ADV filing dated: May 6, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/290775
- AdvisorCensus page: https://advisorcensus.com/firm/broad-investment-securities-llc-beijing-290775

## Quick answers

**How is Broad Investment Securities LLC compensated?**
On its Form ADV (Item 5.E, October 2026), Broad Investment Securities LLC reports these compensation arrangements: a percentage of assets under its management; performance-based fees.

**How much does Broad Investment Securities LLC charge?**
Its Form ADV Part 2A brochure dated May 6, 2026 states: Asset-based fee: 1% of assets a year. Fees can differ by service and may be negotiable; the brochure is the complete statement.

**Where is Broad Investment Securities LLC located?**
Broad Investment Securities LLC's principal office is in Beijing, China, according to its Form ADV.

**Is Broad Investment Securities LLC registered with the SEC or a state?**
Broad Investment Securities LLC is an SEC-registered investment advisory firm, registered since 2018. Status as filed: Approved. CRD 290775.

**How much does Broad Investment Securities LLC manage?**
Broad Investment Securities LLC reports $200 in regulatory assets under management in its Form ADV filing dated May 6, 2026 (100% discretionary).

**How have Broad Investment Securities LLC's assets and staff changed since 2021?**
In the Form ADV data for Broad Investment Securities LLC: Regulatory assets under management: $200 in the October 2023 data and $200 in the October 2026 data, unchanged. Total employees: 1 in October 2021 and 2 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Broad Investment Securities LLC serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (2).

**Does Broad Investment Securities LLC report any disciplinary disclosures?**
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/290775

**Does Broad Investment Securities LLC state an account minimum?**
Its Form ADV Part 2A brochure dated May 6, 2026 says: "The Firm does not have a minimum account size to open an account."

**What changed in Broad Investment Securities LLC's recent Form ADV filings?**
In the April 2026 filing data: Updated its list of owners and control persons (Schedule A).

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Performance-based fees

### Fees and minimums (Form ADV Part 2A brochure dated May 6, 2026)

- Asset-based fee: 1% of assets a year

> BIS charges 1% of the assets under management (management fee) which is applied annually, and all fees are negotiable.

- Account minimum: None

> The Firm does not have a minimum account size to open an account.

As stated in the firm's brochure. Fees can differ by service and may be negotiable.

### Regulatory assets under management (Item 5.F)
- Total: $200
- Discretionary: $200
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 2 | $200 |
| High net worth individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles (other than investment companies and business development companies) | 0 | $0 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal government entities (including government pension plans) | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses not listed above | 0 | $0 |
| Other | 0 | $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: 2 total, 2 performing advisory functions
- Wrap fee program participation: No
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- [broadfsc.com](https://broadfsc.com)

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | Not reported | 1 | April 30, 2021 |
| October 2022 | Not reported | 2 | August 19, 2022 |
| October 2023 | $200 | 2 | March 30, 2023 |
| October 2024 | $200 | 2 | March 1, 2024 |
| October 2025 | $200 | 2 | April 24, 2025 |
| October 2026 | $200 | 2 | May 6, 2026 |

Regulatory assets under management: $200 in the October 2023 data and $200 in the October 2026 data, unchanged.
Total employees: 1 in October 2021 and 2 in October 2026.

## Changes in the filing (last 12 months)

### April 2026
- Updated its list of owners and control persons (Schedule A).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Broad Investment Securities LLC (CRD 290775): Form ADV filing data as of October 2026.