{ "crd_number": 155792, "slug": "broadriver-asset-management-l-p-new-york-ny-155792", "primary_business_name": "BROADRIVER ASSET MANAGEMENT, L.P.", "legal_name": "BROADRIVER ASSET MANAGEMENT, L.P.", "dbas": [], "city": "New York", "state": "NY", "country": "United States", "cbsa_code": "35620", "metro": { "cbsa_code": "35620", "common_name": "New York", "msa_name": "New York-Newark-Jersey City, NY-NJ", "path": "/advisors/ny/new-york" }, "registration_type": "sec", "registration_status": "Approved", "registration_date": "2011-01-03", "years_registered": 15, "period": "2026-10-01", "filing_date": "2026-03-27", "carried_forward": false, "raum_total": 2342302630.0, "raum_discretionary": 2342302630.0, "raum_non_discretionary": 0.0, "raum_band": "1b_5b", "raum_band_label": "$1 billion to $5 billion", "total_employees": 19, "advisory_employees": 7, "client_count_bucket": null, "clients_by_type": { "pooled_investment_vehicles": { "raum": 2342302630.0, "count": 9 } }, "compensation_types": [ "percentage_of_aum", "performance_based" ], "advisory_activities": [ "portfolio_management_pooled_vehicles" ], "wrap_fee_participant": false, "disclosure_yes_count": 0, "states_registered": [], "websites": [ "https://broadrivercap.com", "https://linkedin.com/COMPANY/BROADRIVER-ASSET-MANAGEMENT-LP" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/155792", "city_as_filed": "NEW YORK", "url": "https://advisorcensus.com/firm/broadriver-asset-management-l-p-new-york-ny-155792", "display_name": "Broadriver Asset Management, L.P.", "summary": "Broadriver Asset Management, L.P. is an SEC-registered investment advisory firm in New York, NY, registered since 2011, reporting $1 billion to $5 billion in regulatory assets under management in its Form ADV filing dated March 27, 2026.", "citation": "AdvisorCensus. Broadriver Asset Management, L.P. (CRD 155792): Form ADV filing data as of October 2026.", "registration_type_label": "SEC-registered investment adviser", "compensation_labels": [ "A percentage of assets under your management", "Performance-based fees" ], "advisory_activity_labels": [ "Portfolio management for pooled investment vehicles (other than investment companies)" ], "quick_answers": [ { "q": "How is Broadriver Asset Management, L.P. compensated?", "a": "On its Form ADV (Item 5.E, October 2026), Broadriver Asset Management, L.P. reports these compensation arrangements: a percentage of assets under its management; performance-based fees." }, { "q": "How much does Broadriver Asset Management, L.P. charge?", "a": "Its Form ADV Part 2A brochure dated March 27, 2026 states: Asset-based fee: up to 2% of assets a year (the maximum the brochure states). Fees can differ by service and may be negotiable; the brochure is the complete statement." }, { "q": "Where is Broadriver Asset Management, L.P. located?", "a": "Broadriver Asset Management, L.P.'s principal office is in New York, NY, according to its Form ADV." }, { "q": "Is Broadriver Asset Management, L.P. registered with the SEC or a state?", "a": "Broadriver Asset Management, L.P. is an SEC-registered investment advisory firm, registered since 2011. Status as filed: Approved. CRD 155792." }, { "q": "How much does Broadriver Asset Management, L.P. manage?", "a": "Broadriver Asset Management, L.P. reports $2,342,302,630 in regulatory assets under management in its Form ADV filing dated March 27, 2026 (100% discretionary)." }, { "q": "How have Broadriver Asset Management, L.P.'s assets and staff changed since 2021?", "a": "In the Form ADV data for Broadriver Asset Management, L.P.: Regulatory assets under management: $1,220,204,821 in the October 2021 data and $2,342,302,630 in the October 2026 data, up 92%. Total employees: 25 in October 2021 and 19 in October 2026. Assets under management move with markets as well as with clients coming and going." }, { "q": "What types of clients does Broadriver Asset Management, L.P. serve?", "a": "By number of clients on Form ADV Item 5.D: pooled investment vehicles (other than investment companies and business development companies) (9)." }, { "q": "Does Broadriver Asset Management, L.P. report any disciplinary disclosures?", "a": "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/155792" }, { "q": "What changed in Broadriver Asset Management, L.P.'s recent Form ADV filings?", "a": "In the April 2026 filing data: Regulatory assets under management went from $1,773,875,659 to $2,342,302,630 (+32%)." } ], "filing_history": [ { "period": "2021-10-01", "regulatory_assets_under_management": 1220204821.0, "total_employees": 25, "filing_date": "2021-03-26" }, { "period": "2022-10-01", "regulatory_assets_under_management": 1390023156.0, "total_employees": 25, "filing_date": "2022-08-10" }, { "period": "2023-10-01", "regulatory_assets_under_management": 1611491060.0, "total_employees": 24, "filing_date": "2023-03-31" }, { "period": "2024-10-01", "regulatory_assets_under_management": 1657225732.0, "total_employees": 22, "filing_date": "2024-03-27" }, { "period": "2025-10-01", "regulatory_assets_under_management": 1773875659.0, "total_employees": 21, "filing_date": "2025-03-25" }, { "period": "2026-10-01", "regulatory_assets_under_management": 2342302630.0, "total_employees": 19, "filing_date": "2026-03-27" } ], "recent_changes": [ { "period": "2026-04-01", "period_label": "April 2026", "notes": [ "Regulatory assets under management went from $1,773,875,659 to $2,342,302,630 (+32%)." ] } ], "fees_from_brochure": { "source": "Form ADV Part 2A brochure dated March 27, 2026", "provided_by_the_firm": false, "tiers": [], "flat_rate": null, "stated_range": null, "stated_maximum": "2% of assets a year", "account_minimum": null, "account_minimum_may_be_waived": false, "minimum_annual_fee": null, "planning_fees": [], "figures": [ { "label": "Asset-based fee", "statements": [ "Asset-based fee: up to 2% of assets a year (the maximum the brochure states)" ], "quotes": [ "In general, BroadRiver receives periodic management fees of up to 2% per annum from the Funds." ] } ], "values": { "tiers": [], "range_pct": null, "max_pct": 2.0, "account_minimum": null, "minimum_annual_fee": null, "planning": [] }, "quotes": [ "In general, BroadRiver receives periodic management fees of up to 2% per annum from the Funds." ], "note": "As stated in the firm's brochure; fees can differ by service and may be negotiable." }, "custodians": [], "custodians_note": null, "markdown_url": "https://advisorcensus.com/firm/broadriver-asset-management-l-p-new-york-ny-155792.md", "clients": [ { "type": "pooled_investment_vehicles", "label": "Pooled investment vehicles (other than investment companies and business development companies)", "count": 9, "fewer_than_5": false, "raum": 2342302630.0 } ], "disclosure_line": "Reports no disclosure items on Form ADV Item 11.", "disclosure_items": [], "indexable": true, "suppressed": false, "claimed": false, "enhanced": false, "provided_by_the_firm": null, "source": { "name": "Form ADV", "as_of": "2026-10-01", "iapd_url": "https://adviserinfo.sec.gov/firm/summary/155792", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }