# Broadway Financial Management LLC

> Broadway Financial Management LLC is a state-registered investment advisory firm, registered since 2022, reporting under $25 million in regulatory assets under management in its Form ADV filing dated September 26, 2022.

- CRD: 155795
- Filed as: BROADWAY FINANCIAL MANAGEMENT LLC
- Registration: State-registered investment adviser (status as filed: APPROVED)
- Location: Registered in New York
- Filing period: October 2026
- Form ADV filing dated: September 26, 2022
- Public record (IAPD): https://adviserinfo.sec.gov/firm/summary/155795
- AdvisorCensus page: https://advisorcensus.com/firm/broadway-financial-management-llc-155795

## Quick answers

**How is Broadway Financial Management LLC compensated?**
On its Form ADV (Item 5.E, October 2026), Broadway Financial Management LLC reports these compensation arrangements: a percentage of assets under its management; fixed fees (other than subscription fees). The amounts are in Item 5 of its Form ADV Part 2A brochure.

**Is Broadway Financial Management LLC registered with the SEC or a state?**
Broadway Financial Management LLC is a state-registered investment advisory firm, registered since 2022. Status as filed: APPROVED. CRD 155795.

**How much does Broadway Financial Management LLC manage?**
Broadway Financial Management LLC reports $19,337,200 in regulatory assets under management in its Form ADV filing dated September 26, 2022 (100% discretionary).

**How have Broadway Financial Management LLC's assets and staff changed since 2021?**
In the Form ADV data for Broadway Financial Management LLC: Regulatory assets under management: $95,171,709 in the October 2021 data and $19,337,200 in the October 2026 data, down 80%. Total employees: 1 in October 2021 and 1 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Broadway Financial Management LLC serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (12); high net worth individuals (7).

**Does Broadway 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 public record on IAPD: https://adviserinfo.sec.gov/firm/summary/155795

## From the Form ADV filing

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

### Regulatory assets under management (Item 5.F)
- Total: $19,337,200
- Discretionary: $19,337,200
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 12 | $5,626,100 |
| High net worth individuals | 7 | $13,711,100 |

### Advisory services (Item 5.G)
- Portfolio management for individuals and/or small businesses

### Firm details
- Registered since: 2022 (4 years)
- Employees: 1 total, 1 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: NY
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $95,171,709 | 1 | February 4, 2021 |
| October 2022 | $19,337,200 | 1 | September 26, 2022 |
| October 2026 | $19,337,200 | 1 | September 26, 2022 |

Regulatory assets under management: $95,171,709 in the October 2021 data and $19,337,200 in the October 2026 data, down 80%.
Total employees: 1 in October 2021 and 1 in October 2026.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Broadway Financial Management LLC (CRD 155795): Form ADV filing data as of October 2026.