{ "crd_number": 334073, "slug": "broadview-management-llc-st-louis-mo-334073", "primary_business_name": "BROADVIEW MANAGEMENT, LLC", "legal_name": "BROADVIEW MANAGEMENT, LLC", "dbas": [], "city": "St. Louis", "state": "MO", "country": "United States", "cbsa_code": "41180", "metro": { "cbsa_code": "41180", "common_name": "St. Louis", "msa_name": "St. Louis, MO-IL", "path": "/advisors/mo/st-louis" }, "registration_type": "sec", "registration_status": "Approved", "registration_date": "2025-03-07", "years_registered": 1, "period": "2026-10-01", "filing_date": "2026-07-31", "carried_forward": false, "raum_total": 330386772.0, "raum_discretionary": 330386772.0, "raum_non_discretionary": 0.0, "raum_band": "100m_500m", "raum_band_label": "$100 million to $500 million", "total_employees": 31, "advisory_employees": 11, "client_count_bucket": null, "clients_by_type": { "pooled_investment_vehicles": { "raum": 330386772.0, "count": 4 } }, "compensation_types": [ "other", "percentage_of_aum", "performance_based" ], "advisory_activities": [ "portfolio_management_pooled_vehicles" ], "wrap_fee_participant": false, "disclosure_yes_count": 1, "states_registered": [ "MO" ], "websites": [ "https://broadviewgroup.com", "https://linkedin.com/company/broadview-group-holdings-llc" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/334073", "disclosure_items": [ { "item": "11.E(2)", "question": "Has a self-regulatory organization or a commodities exchange ever found that the firm or an advisory affiliate was involved in a violation of its rules, other than a minor rule violation under a plan the SEC approved?" } ], "city_as_filed": "ST. LOUIS", "url": "https://advisorcensus.com/firm/broadview-management-llc-st-louis-mo-334073", "display_name": "Broadview Management, LLC", "summary": "Broadview Management, LLC is an SEC-registered investment advisory firm in St. Louis, MO, registered since 2025, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated July 31, 2026.", "citation": "AdvisorCensus. Broadview Management, LLC (CRD 334073): 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", "Other" ], "advisory_activity_labels": [ "Portfolio management for pooled investment vehicles (other than investment companies)" ], "quick_answers": [ { "q": "How is Broadview Management, LLC compensated?", "a": "On its Form ADV (Item 5.E, October 2026), Broadview Management, LLC reports these compensation arrangements: a percentage of assets under its management; performance-based fees; other. The amounts are in Item 5 of its Form ADV Part 2A brochure." }, { "q": "Where is Broadview Management, LLC located?", "a": "Broadview Management, LLC's principal office is in St. Louis, MO, according to its Form ADV." }, { "q": "Is Broadview Management, LLC registered with the SEC or a state?", "a": "Broadview Management, LLC is an SEC-registered investment advisory firm, registered since 2025. Status as filed: Approved. CRD 334073." }, { "q": "How much does Broadview Management, LLC manage?", "a": "Broadview Management, LLC reports $330,386,772 in regulatory assets under management in its Form ADV filing dated July 31, 2026 (100% discretionary)." }, { "q": "How have Broadview Management, LLC's assets and staff changed since 2025?", "a": "In the Form ADV data for Broadview Management, LLC: Regulatory assets under management: $335,000,000 in the October 2025 data and $330,386,772 in the October 2026 data, down 1%. Total employees: 28 in October 2025 and 31 in October 2026. Assets under management move with markets as well as with clients coming and going." }, { "q": "What types of clients does Broadview Management, LLC serve?", "a": "By number of clients on Form ADV Item 5.D: pooled investment vehicles (other than investment companies and business development companies) (4)." }, { "q": "Does Broadview Management, LLC report any disciplinary disclosures?", "a": "Reports 1 disclosure item on Form ADV Item 11: yes answers to 11.E(2) (self-regulatory organization's finding of a rule violation). 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 SEC record: https://adviserinfo.sec.gov/firm/summary/334073" }, { "q": "What changed in Broadview Management, LLC's recent Form ADV filings?", "a": "In the August 2026 filing data: Employees performing advisory functions went from 13 to 11." } ], "filing_history": [ { "period": "2025-10-01", "regulatory_assets_under_management": 335000000.0, "total_employees": 28, "filing_date": "2025-02-07" }, { "period": "2026-10-01", "regulatory_assets_under_management": 330386772.0, "total_employees": 31, "filing_date": "2026-07-31" } ], "recent_changes": [ { "period": "2026-08-01", "period_label": "August 2026", "notes": [ "Employees performing advisory functions went from 13 to 11." ] }, { "period": "2026-04-01", "period_label": "April 2026", "notes": [ "Employees performing advisory functions went from 12 to 13." ] } ], "fees_from_brochure": null, "custodians": [], "custodians_note": null, "markdown_url": "https://advisorcensus.com/firm/broadview-management-llc-st-louis-mo-334073.md", "clients": [ { "type": "pooled_investment_vehicles", "label": "Pooled investment vehicles (other than investment companies and business development companies)", "count": 4, "fewer_than_5": false, "raum": 330386772.0 } ], "disclosure_line": "Reports 1 disclosure item on Form ADV Item 11.", "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/334073", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }