{ "crd_number": 335028, "slug": "broadview-wealth-partners-boulder-co-335028", "primary_business_name": "BROADVIEW WEALTH PARTNERS", "legal_name": "BROADVIEW WEALTH PARTNERS, LLC", "dbas": [], "city": "Boulder", "state": "CO", "country": "United States", "cbsa_code": "14500", "metro": { "cbsa_code": "14500", "common_name": "Boulder", "msa_name": "Boulder, CO", "path": "/advisors/co/boulder" }, "registration_type": "sec", "registration_status": "Approved", "registration_date": "2025-08-01", "years_registered": 1, "period": "2026-10-01", "filing_date": "2026-09-30", "carried_forward": false, "raum_total": 304671215.0, "raum_discretionary": 304671215.0, "raum_non_discretionary": 0.0, "raum_band": "100m_500m", "raum_band_label": "$100 million to $500 million", "total_employees": 7, "advisory_employees": 7, "client_count_bucket": null, "clients_by_type": { "individuals": { "raum": 86339442.0, "count": 216 }, "high_net_worth_individuals": { "raum": 218331773.0, "count": 94 } }, "compensation_types": [ "percentage_of_aum" ], "advisory_activities": [ "portfolio_management_individuals", "selection_of_other_advisers" ], "wrap_fee_participant": false, "disclosure_yes_count": 0, "states_registered": [ "CO", "LA", "NE", "NH", "TX" ], "websites": [ "https://broadviewwp.com", "https://linkedin.com/in/james-dawson-097037a6" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/335028", "city_as_filed": "BOULDER", "url": "https://advisorcensus.com/firm/broadview-wealth-partners-boulder-co-335028", "display_name": "Broadview Wealth Partners", "summary": "Broadview Wealth Partners is an SEC-registered investment advisory firm in Boulder, CO, registered since 2025, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated September 30, 2026.", "citation": "AdvisorCensus. Broadview Wealth Partners (CRD 335028): Form ADV filing data as of October 2026.", "registration_type_label": "SEC-registered investment adviser", "compensation_labels": [ "A percentage of assets under your management" ], "advisory_activity_labels": [ "Portfolio management for individuals and/or small businesses", "Selection of other advisers (including private fund managers)" ], "quick_answers": [ { "q": "How is Broadview Wealth Partners compensated?", "a": "On its Form ADV (Item 5.E, October 2026), Broadview Wealth Partners reports these compensation arrangements: a percentage of assets under its management. The amounts are in Item 5 of its Form ADV Part 2A brochure." }, { "q": "Where is Broadview Wealth Partners located?", "a": "Broadview Wealth Partners' principal office is in Boulder, CO, according to its Form ADV." }, { "q": "Is Broadview Wealth Partners registered with the SEC or a state?", "a": "Broadview Wealth Partners is an SEC-registered investment advisory firm, registered since 2025. Status as filed: Approved. CRD 335028." }, { "q": "How much does Broadview Wealth Partners manage?", "a": "Broadview Wealth Partners reports $304,671,215 in regulatory assets under management in its Form ADV filing dated September 30, 2026 (100% discretionary)." }, { "q": "What types of clients does Broadview Wealth Partners serve?", "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (216); high net worth individuals (94)." }, { "q": "Which custodians does Broadview Wealth Partners use?", "a": "Broadview Wealth Partners' most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Raymond James & Associates, Inc. as a custodian holding 10% or more of its separately managed account assets." }, { "q": "Does Broadview Wealth Partners 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/335028" }, { "q": "What changed in Broadview Wealth Partners' recent Form ADV filings?", "a": "In the September 2026 filing data: Registered or notice-filed in NH." } ], "filing_history": [], "recent_changes": [ { "period": "2026-09-01", "period_label": "September 2026", "notes": [ "Registered or notice-filed in NH." ] }, { "period": "2026-04-01", "period_label": "April 2026", "notes": [ "Employees performing advisory functions went from 2 to 7." ] }, { "period": "2026-01-01", "period_label": "January 2026", "notes": [ "No longer registered or notice-filed in NY." ] }, { "period": "2025-12-01", "period_label": "December 2025", "notes": [ "Newly registered with the SEC." ] } ], "fees_from_brochure": null, "custodians": [ { "name": "Raymond James & Associates, Inc.", "name_as_filed": "RAYMOND JAMES & ASSOCIATES, INC.", "affiliated": false } ], "custodians_note": "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.", "markdown_url": "https://advisorcensus.com/firm/broadview-wealth-partners-boulder-co-335028.md", "clients": [ { "type": "individuals", "label": "Individuals (other than high net worth individuals)", "count": 216, "fewer_than_5": false, "raum": 86339442.0 }, { "type": "high_net_worth_individuals", "label": "High net worth individuals", "count": 94, "fewer_than_5": false, "raum": 218331773.0 } ], "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/335028", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }