# Broadview Management, LLC

> 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.

- CRD: 334073
- Filed as: BROADVIEW MANAGEMENT, LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: St. Louis, MO
- Filing period: October 2026
- Form ADV filing dated: July 31, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/334073
- AdvisorCensus page: https://advisorcensus.com/firm/broadview-management-llc-st-louis-mo-334073

## Quick answers

**How is Broadview Management, LLC compensated?**
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.

**Where is Broadview Management, LLC located?**
Broadview Management, LLC's principal office is in St. Louis, MO, according to its Form ADV.

**Is Broadview Management, LLC registered with the SEC or a state?**
Broadview Management, LLC is an SEC-registered investment advisory firm, registered since 2025. Status as filed: Approved. CRD 334073.

**How much does Broadview Management, LLC manage?**
Broadview Management, LLC reports $330,386,772 in regulatory assets under management in its Form ADV filing dated July 31, 2026 (100% discretionary).

**How have Broadview Management, LLC's assets and staff changed since 2025?**
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.

**What types of clients does Broadview Management, LLC serve?**
By number of clients on Form ADV Item 5.D: pooled investment vehicles (other than investment companies and business development companies) (4).

**Does Broadview Management, LLC report any disciplinary disclosures?**
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

**What changed in Broadview Management, LLC's recent Form ADV filings?**
In the August 2026 filing data: Employees performing advisory functions went from 13 to 11.

## From the Form ADV filing

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

### Regulatory assets under management (Item 5.F)
- Total: $330,386,772
- Discretionary: $330,386,772
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Pooled investment vehicles (other than investment companies and business development companies) | 4 | $330,386,772 |

### Advisory services (Item 5.G)
- Portfolio management for pooled investment vehicles (other than investment companies)

### Firm details
- Registered since: 2025 (1 year)
- Employees: 31 total, 11 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: MO
- Disclosures (Item 11): Reports 1 disclosure item on Form ADV Item 11.

### Item 11 questions answered yes
- 11.E(2): 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?

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 SEC record: https://adviserinfo.sec.gov/firm/summary/334073

### Websites listed on Form ADV (Item 1.I)
- broadviewgroup.com
- LinkedIn @broadview-group-holdings-llc

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2025 | $335,000,000 | 28 | February 7, 2025 |
| October 2026 | $330,386,772 | 31 | July 31, 2026 |

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.

## Changes in the filing (last 12 months)

### August 2026
- Employees performing advisory functions went from 13 to 11.

### April 2026
- Employees performing advisory functions went from 12 to 13.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Broadview Management, LLC (CRD 334073): Form ADV filing data as of October 2026.