# Broadway Advisor Group

> Broadway Advisor Group is an SEC-registered investment advisory firm in Albany, NY, registered since 2022, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated March 31, 2026.

- CRD: 324281
- Filed as: BROADWAY ADVISOR GROUP
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Albany, NY
- Filing period: October 2026
- Form ADV filing dated: March 31, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/324281
- AdvisorCensus page: https://advisorcensus.com/firm/broadway-advisor-group-albany-ny-324281

## Quick answers

**How is Broadway Advisor Group compensated?**
On its Form ADV (Item 5.E, October 2026), Broadway Advisor Group reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees).

**Where is Broadway Advisor Group located?**
Broadway Advisor Group's principal office is in Albany, NY, according to its Form ADV.

**Is Broadway Advisor Group registered with the SEC or a state?**
Broadway Advisor Group is an SEC-registered investment advisory firm, registered since 2022. Status as filed: Approved. CRD 324281.

**How much does Broadway Advisor Group manage?**
Broadway Advisor Group reports $214,923,032 in regulatory assets under management in its Form ADV filing dated March 31, 2026 (95% discretionary).

**How have Broadway Advisor Group's assets and staff changed since 2023?**
In the Form ADV data for Broadway Advisor Group: Regulatory assets under management: $65,105,000 in the October 2023 data and $214,923,032 in the October 2026 data, up 230%. Total employees: 4 in October 2023 and 4 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Broadway Advisor Group serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (244); high net worth individuals (71); pension and profit sharing plans (but not the plan participants or government pension plans) (5).

**Which custodians does Broadway Advisor Group use?**
Broadway Advisor Group's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Fidelity Brokerage Services LLC and Interactive Brokers LLC as custodians holding 10% or more of its separately managed account assets.

**Does Broadway Advisor Group 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/324281

**Does Broadway Advisor Group state an account minimum?**
Its Form ADV Part 2A brochure dated March 31, 2026 says: "There is no account minimum for any of BAG’s services."

**What changed in Broadway Advisor Group's recent Form ADV filings?**
In the April 2026 filing data: Regulatory assets under management went from $166,642,518 to $214,923,032 (+29%).

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)

### Fees and minimums (Form ADV Part 2A brochure dated March 31, 2026)

- Account minimum: None

> There is no account minimum for any of BAG’s services.

As stated in the firm's brochure. Fees can differ by service and may be negotiable.

### Custodians (Schedule D, Section 5.K(3))
- Fidelity Brokerage Services LLC
- Interactive Brokers 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: $214,923,032
- Discretionary: $203,734,132
- Non-discretionary: $11,188,900

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 244 | $65,554,821 |
| High net worth individuals | 71 | $137,245,634 |
| 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) | 5 | $11,185,900 |
| Charitable organizations | 0 | $0 |
| 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 | 1 | $936,677 |
| Other | 0 | $0 |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Pension consulting services
- Selection of other advisers (including private fund managers)

### Firm details
- Registered since: 2022 (3 years)
- Employees: 4 total, 3 performing advisory functions
- Wrap fee program participation: Yes
- States registered or notice-filed: FL, NH, NJ, NY, TX
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- broadwayadvisorgroup.com
- sgroiwealth.com

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2023 | $65,105,000 | 4 | April 3, 2023 |
| October 2024 | $91,942,513 | 4 | April 8, 2024 |
| October 2025 | $166,642,518 | 5 | June 11, 2025 |
| October 2026 | $214,923,032 | 4 | March 31, 2026 |

Regulatory assets under management: $65,105,000 in the October 2023 data and $214,923,032 in the October 2026 data, up 230%.
Total employees: 4 in October 2023 and 4 in October 2026.

## Changes in the filing (last 12 months)

### April 2026
- Regulatory assets under management went from $166,642,518 to $214,923,032 (+29%).

### February 2026
- Employees performing advisory functions went from 4 to 3.
- Changed its legal name from Broadway Advisor Group, LLC to Broadway Advisor Group.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Broadway Advisor Group (CRD 324281): Form ADV filing data as of October 2026.