# Broadcore Investments LP

> Broadcore Investments LP is a state-registered investment advisory firm, registered since 2024, reporting under $25 million in regulatory assets under management in its Form ADV filing dated September 20, 2024.

- CRD: 165674
- Filed as: BROADCORE INVESTMENTS LP
- Registration: State-registered investment adviser (status as filed: APPROVED)
- Location: Registered in New York
- Filing period: October 2026
- Form ADV filing dated: September 20, 2024
- Public record (IAPD): https://adviserinfo.sec.gov/firm/summary/165674
- AdvisorCensus page: https://advisorcensus.com/firm/broadcore-investments-lp-165674

## Quick answers

**How is Broadcore Investments LP compensated?**
On its Form ADV (Item 5.E, October 2026), Broadcore Investments LP reports these compensation arrangements: a percentage of assets under its management.

**Is Broadcore Investments LP registered with the SEC or a state?**
Broadcore Investments LP is a state-registered investment advisory firm, registered since 2024. Status as filed: APPROVED. CRD 165674.

**How much does Broadcore Investments LP manage?**
Broadcore Investments LP reports $12,997,815 in regulatory assets under management in its Form ADV filing dated September 20, 2024 (100% discretionary).

**How have Broadcore Investments LP's assets and staff changed since 2021?**
In the Form ADV data for Broadcore Investments LP: Regulatory assets under management: $36,244,187 in the October 2021 data and $12,997,815 in the October 2026 data, down 64%. Total employees: 3 in October 2021 and 3 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Broadcore Investments LP serve?**
By number of clients on Form ADV Item 5.D: high net worth individuals (5).

**Does Broadcore Investments LP report any disciplinary disclosures?**
Reports 3 disclosure items on Form ADV Item 11: yes answers to 11.C(2) (SEC or CFTC finding of a violation), 11.C(4) (SEC or CFTC order), and 11.C(5) (SEC or CFTC civil money penalty or cease-and-desist order). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/165674

## From the Form ADV filing

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

### Regulatory assets under management (Item 5.F)
- Total: $12,997,815
- Discretionary: $12,997,815
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 0 | Not reported |
| High net worth individuals | 5 | $7,743,359 |
| Banking or thrift institutions | 0 | Not reported |
| Investment companies | 0 | Not reported |
| Business development companies | 0 | Not reported |
| Pooled investment vehicles (other than investment companies and business development companies) | 0 | Not reported |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | Fewer than 5 | $5,254,456 |
| Charitable organizations | 0 | Not reported |
| State or municipal government entities (including government pension plans) | 0 | Not reported |
| Other investment advisers | 0 | Not reported |
| Insurance companies | 0 | Not reported |
| Sovereign wealth funds and foreign official institutions | 0 | Not reported |
| Corporations or other businesses not listed above | 0 | Not reported |
| Other | 0 | Not reported |

### Advisory services (Item 5.G)
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients

### Firm details
- Registered since: 2024 (2 years)
- Employees: 3 total, 1 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: NY
- Disclosures (Item 11): Reports 3 disclosure items on Form ADV Item 11.

### Item 11 questions answered yes
- 11.C(2): Has the SEC or the CFTC ever found that the firm or an advisory affiliate was involved in a violation of SEC or CFTC regulations or statutes?
- 11.C(4): Has the SEC or the CFTC ever entered an order against the firm or an advisory affiliate in connection with investment-related activity?
- 11.C(5): Has the SEC or the CFTC ever imposed a civil money penalty on the firm or an advisory affiliate, or ordered the firm or an advisory affiliate to cease and desist from an activity?

Each question covers the firm and its advisory affiliates: its current employees other than clerical staff, its officers, partners, and directors, and anyone who controls the firm or is controlled by it. One event can produce yes answers to several questions. SEC-registered advisers and exempt reporting advisers may leave out events more than ten years old, and may answer 11.A(2) and 11.B(2) for pending charges only. The detail of each yes answer is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/165674

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $36,244,187 | 3 | March 30, 2021 |
| October 2022 | $34,812,725 | 3 | March 27, 2022 |
| October 2023 | $27,302,141 | 3 | March 26, 2023 |
| October 2026 | $12,997,815 | 3 | September 20, 2024 |

Regulatory assets under management: $36,244,187 in the October 2021 data and $12,997,815 in the October 2026 data, down 64%.
Total employees: 3 in October 2021 and 3 in October 2026.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Broadcore Investments LP (CRD 165674): Form ADV filing data as of October 2026.