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BROAD INVESTMENT SECURITIES LLC
CRD 290775File 801-112127
APPROVED
Retail clients
Filing as of May 6, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$200
Bottom 25% of cohort (national)
Discretionary AUM
$200
Clients
2
2 accounts
Employees
2
Identity & registration
ADV Item 1- Organization form
- Limited Liability Company
- Firm type
- Registered
- SEC region
- HQ
- Registration date
- Jan 10, 2018
- Principal office
- 3F SI HUI DA SHA, 1008-B HUI HE NAN STREET, CHAOYANG DISTRICT, BEIJING, 100124
- Phone
- 001 6363182914
- Website
- https://www.broadfsc.com
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $200
- Discretionary AUM
- $200
- Non-discretionary AUM
- $0
- Discretionary accounts
- 2
- Non-discretionary accounts
- 0
- Total accounts
- 2
- AUM per client
- $100
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Individuals (other than high net worth individuals) | Fewer than 5 | $200 |
Compensation & activities
ADV Items 5E, 5GCompensation
- Performance-based fees
- A percentage of assets under your management
Advisory activities
- Financial planning services
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- No
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- No
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11This firm answered no to every Item 11 disclosure question in this filing.
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| May 1, 2025 vs Oct 1, 2022 | Clients | 0 | 2 | increased by2 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $0 | $200 | increased by$200 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 0 | 2 | increased by2 |
| Sep 1, 2022 | Employees | 1 | 2 | increased by1 |
| Apr 1, 2021 | Registration | — | APPROVED |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “BROAD INVESTMENT” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“BROAD INVESTMENT” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.