# Broadwood Capital, Inc

> Broadwood Capital, Inc is an SEC-registered investment advisory firm in New York, NY, registered since 2012, reporting $1 billion to $5 billion in regulatory assets under management in its Form ADV filing dated March 31, 2026.

- CRD: 159286
- Filed as: BROADWOOD CAPITAL, INC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: New York, NY
- Filing period: October 2026
- Form ADV filing dated: March 31, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/159286
- AdvisorCensus page: https://advisorcensus.com/firm/broadwood-capital-inc-new-york-ny-159286

## Quick answers

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

**Where is Broadwood Capital, Inc located?**
Broadwood Capital, Inc's principal office is in New York, NY, according to its Form ADV.

**Is Broadwood Capital, Inc registered with the SEC or a state?**
Broadwood Capital, Inc is an SEC-registered investment advisory firm, registered since 2012. Status as filed: Approved. CRD 159286.

**How much does Broadwood Capital, Inc manage?**
Broadwood Capital, Inc reports $1,711,394,203 in regulatory assets under management in its Form ADV filing dated March 31, 2026 (100% discretionary).

**How have Broadwood Capital, Inc's assets and staff changed since 2021?**
In the Form ADV data for Broadwood Capital, Inc: Regulatory assets under management: $1,756,382,403 in the October 2021 data and $1,711,394,203 in the October 2026 data, down 3%. Total employees: 6 in October 2021 and 6 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Broadwood Capital, Inc serve?**
By number of clients on Form ADV Item 5.D: pooled investment vehicles (other than investment companies and business development companies) (2).

**Does Broadwood Capital, Inc 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/159286

**What changed in Broadwood Capital, Inc's recent Form ADV filings?**
In the April 2026 filing data: Regulatory assets under management went from $1,312,609,353 to $1,711,394,203 (+30%).

## From the Form ADV filing

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

### Regulatory assets under management (Item 5.F)
- Total: $1,711,394,203
- Discretionary: $1,711,394,203
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Pooled investment vehicles (other than investment companies and business development companies) | 2 | $1,711,394,203 |

### Advisory services (Item 5.G)
- Portfolio management for pooled investment vehicles (other than investment companies)
- Selection of other advisers (including private fund managers)

### Firm details
- Registered since: 2012 (14 years)
- Employees: 6 total, 5 performing advisory functions
- Wrap fee program participation: No
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

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

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $1,756,382,403 | 6 | March 31, 2021 |
| October 2022 | $1,849,878,039 | 7 | March 31, 2022 |
| October 2023 | $1,301,065,766 | 7 | March 31, 2023 |
| October 2024 | $1,224,233,537 | 5 | August 13, 2024 |
| October 2025 | $1,312,609,353 | 6 | March 31, 2025 |
| October 2026 | $1,711,394,203 | 6 | March 31, 2026 |

Regulatory assets under management: $1,756,382,403 in the October 2021 data and $1,711,394,203 in the October 2026 data, down 3%.
Total employees: 6 in October 2021 and 6 in October 2026.

## Changes in the filing (last 12 months)

### April 2026
- Regulatory assets under management went from $1,312,609,353 to $1,711,394,203 (+30%).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Broadwood Capital, Inc (CRD 159286): Form ADV filing data as of October 2026.