# Broadside Wealth > Broadside Wealth is an SEC-registered investment advisory firm in San Francisco, CA, registered since 2026, reporting $500 million to $1 billion in regulatory assets under management in its Form ADV filing dated September 30, 2026. - CRD: 342220 - Filed as: BROADSIDE WEALTH - Legal name: Broadside Wealth Technologies Inc. - Registration: SEC-registered investment adviser (status as filed: Approved) - Location: San Francisco, CA - Filing period: October 2026 - Form ADV filing dated: September 30, 2026 - SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/342220 - AdvisorCensus page: https://advisorcensus.com/firm/broadside-wealth-san-francisco-ca-342220 ## Quick answers **How is Broadside Wealth compensated?** On its Form ADV (Item 5.E, October 2026), Broadside Wealth reports these compensation arrangements: fixed fees (other than subscription fees); other. **Where is Broadside Wealth located?** Broadside Wealth's principal office is in San Francisco, CA, according to its Form ADV; the October 2026 filing also lists 1 other office (Schedule D, Section 1.F). **Is Broadside Wealth registered with the SEC or a state?** Broadside Wealth is an SEC-registered investment advisory firm, registered since 2026. Status as filed: Approved. CRD 342220. **How much does Broadside Wealth manage?** Broadside Wealth reports $874,516,229 in regulatory assets under management in its Form ADV filing dated September 30, 2026 (10% discretionary). **What types of clients does Broadside Wealth serve?** By number of clients on Form ADV Item 5.D: high net worth individuals (20). **Which custodians does Broadside Wealth use?** Broadside Wealth's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. and Ibhk as custodians holding 10% or more of its separately managed account assets. **Does Broadside Wealth 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/342220 **Does Broadside Wealth state an account minimum?** Its Form ADV Part 2A brochure dated June 4, 2026 says: "The Firm generally requires a minimum net worth of $50,000,000 to become a member, though this minimum may be waived at the Firm’s discretion for families with complex situations or growth trajectories that would benefit from our services." **What changed in Broadside Wealth's recent Form ADV filings?** In the October 2026 filing data: Employees performing advisory functions went from 1 to 4. Regulatory assets under management went from $0 to $874,516,229. Added an office in New York, NY. Registered or notice-filed in NY. Updated its list of owners and control persons (Schedule A). ## From the Form ADV filing ### Compensation (Item 5.E) - Fixed fees (other than subscription fees) - Other ### Fees and minimums (Form ADV Part 2A brochure dated June 4, 2026) - Account minimum: $50,000,000 (the brochure says it may be waived or negotiated) > The Firm generally requires a minimum net worth of $50,000,000 to become a member, though this minimum may be waived at the Firm’s discretion for families with complex situations or growth trajectories that would benefit from our services. As stated in the firm's brochure. Fees can differ by service and may be negotiable. ### Custodians (Schedule D, Section 5.K(3)) - Charles Schwab & Co., Inc. - Ibhk Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian. ### Regulatory assets under management (Item 5.F) - Total: $874,516,229 - Discretionary: $91,636,705 - Non-discretionary: $782,879,524 ### Clients (Item 5.D) | Client type | Clients | Assets | | --- | --- | --- | | Individuals (other than high net worth individuals) | Fewer than 5 | Not reported | | High net worth individuals | 20 | $874,516,229 | | Banking or thrift institutions | Fewer than 5 | 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 | Not reported | | Charitable organizations | Fewer than 5 | Not reported | | State or municipal government entities (including government pension plans) | Fewer than 5 | Not reported | | Other investment advisers | Fewer than 5 | Not reported | | Insurance companies | Fewer than 5 | Not reported | | Sovereign wealth funds and foreign official institutions | Fewer than 5 | Not reported | | Corporations or other businesses not listed above | Fewer than 5 | Not reported | | Other | 0 | Not reported | ### Advisory services (Item 5.G) - Financial planning services - Portfolio management for individuals and/or small businesses - Selection of other advisers (including private fund managers) ### Firm details - Registered since: 2026 (0 years) - Employees: 5 total, 4 performing advisory functions - Wrap fee program participation: No - States registered or notice-filed: CA, NY - Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11. ### Other offices (Schedule D, Section 1.F), as of the October 2026 filing - New York, NY ### Websites listed on Form ADV (Item 1.I) - broadsidewealth.com - LinkedIn @broadsidewealth ## Changes in the filing (last 12 months) ### October 2026 - Employees performing advisory functions went from 1 to 4. - Regulatory assets under management went from $0 to $874,516,229. - Added an office in New York, NY. - Registered or notice-filed in NY. - Updated its list of owners and control persons (Schedule A). ### July 2026 - Newly registered with the SEC. ### June 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. Broadside Wealth (CRD 342220): Form ADV filing data as of October 2026.