# Broadview Financial Management, LLC

> Broadview Financial Management, LLC is an SEC-registered investment advisory firm in Wauwatosa, WI, registered since 2013, reporting $500 million to $1 billion in regulatory assets under management in its Form ADV filing dated March 30, 2026.

- CRD: 143550
- Filed as: BROADVIEW FINANCIAL MANAGEMENT, LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Wauwatosa, WI
- Filing period: October 2026
- Form ADV filing dated: March 30, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/143550
- AdvisorCensus page: https://advisorcensus.com/firm/broadview-financial-management-llc-wauwatosa-wi-143550

## Quick answers

**How is Broadview Financial Management, LLC compensated?**
On its Form ADV (Item 5.E, October 2026), Broadview Financial Management, LLC reports these compensation arrangements: a percentage of assets under its management; hourly charges.

**How much does Broadview Financial Management, LLC charge?**
Its Form ADV Part 2A brochure dated March 30, 2026 states: Hourly rate: $400 an hour (financial planning and consulting services). Fees can differ by service and may be negotiable; the brochure is the complete statement.

**Where is Broadview Financial Management, LLC located?**
Broadview Financial Management, LLC's principal office is in Wauwatosa, WI, according to its Form ADV.

**Is Broadview Financial Management, LLC registered with the SEC or a state?**
Broadview Financial Management, LLC is an SEC-registered investment advisory firm, registered since 2013. Status as filed: Approved. CRD 143550.

**How much does Broadview Financial Management, LLC manage?**
Broadview Financial Management, LLC reports $699,241,680 in regulatory assets under management in its Form ADV filing dated March 30, 2026 (100% discretionary).

**How have Broadview Financial Management, LLC's assets and staff changed since 2021?**
In the Form ADV data for Broadview Financial Management, LLC: Regulatory assets under management: $468,909,040 in the October 2021 data and $699,241,680 in the October 2026 data, up 49%. Total employees: 8 in October 2021 and 9 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Broadview Financial Management, LLC serve?**
By number of clients on Form ADV Item 5.D: high net worth individuals (209); individuals (other than high net worth individuals) (60).

**Which custodians does Broadview Financial Management, LLC use?**
Broadview Financial Management, LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. and Fidelity Brokerage Services LLC as custodians holding 10% or more of its separately managed account assets.

**Does Broadview Financial Management, 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/143550

**What changed in Broadview Financial Management, LLC's recent Form ADV filings?**
In the April 2026 filing data: Regulatory assets under management went from $623,294,951 to $699,241,680 (+12%).

## From the Form ADV filing

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

### Fees and minimums (Form ADV Part 2A brochure dated March 30, 2026)

- Hourly rate: $400 an hour (financial planning and consulting services)

> Broadview generally charges $400 per hour for providing financial planning and consulting services. These fees are negotiable and vary depending upon the scope and complexity of the 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.
- Fidelity Brokerage Services LLC

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: $699,241,680
- Discretionary: $699,241,680
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 60 | $36,129,360 |
| High net worth individuals | 209 | $660,995,826 |
| 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 | Fewer than 5 | $2,116,494 |
| 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
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops

### Firm details
- Registered since: 2013 (13 years)
- Employees: 9 total, 7 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: FL, IL, TX, WI
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- broadview.financial
- broadviewfinancial.co
- broadviewfinancial.com
- broadviewfinancial.info
- broadviewfinancial.net
- broadviewfinancial.org
- broadviewfinancialadvisory.com
- broadviewfinancialmanagement.com
- broadviewfinancialplanners.com
- broadviewfinancialplanning.com
- broadviewplanners.com
- broadviewwealthplanners.com
- broadviewwealthplanning.com
- preparedfinancialplanning.com
- preparedfinancialplanning.net
- sjafa.com
- sjafinancialadvisory.com
- unbiasedfeeonly.com
- LinkedIn @broadview-financial-management-llc

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $468,909,040 | 8 | March 31, 2021 |
| October 2022 | $535,530,651 | 9 | March 31, 2022 |
| October 2023 | $465,309,589 | 9 | March 30, 2023 |
| October 2024 | $548,972,855 | 9 | March 27, 2024 |
| October 2025 | $623,294,951 | 9 | March 26, 2025 |
| October 2026 | $699,241,680 | 9 | March 30, 2026 |

Regulatory assets under management: $468,909,040 in the October 2021 data and $699,241,680 in the October 2026 data, up 49%.
Total employees: 8 in October 2021 and 9 in October 2026.

## Changes in the filing (last 12 months)

### April 2026
- Regulatory assets under management went from $623,294,951 to $699,241,680 (+12%).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Broadview Financial Management, LLC (CRD 143550): Form ADV filing data as of October 2026.