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BROADSIDE WEALTH
Legal name: BROADSIDE WEALTH TECHNOLOGIES INC.
CRD 342220File 801-136400
APPROVED
Retail clients
Custody
Filing as of Sep 30, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$874.5M
Above cohort median (national)
Discretionary AUM
$91.6M
Non-discretionary $782.9M
Clients
20
24 accounts
Employees
5
Above cohort median in CA
Identity & registration
ADV Item 1- Organization form
- Corporation
- Firm type
- Registered
- SEC region
- SFRO
- Registration date
- Jun 1, 2026
- Principal office
- 333 BUSH STREET, SUITE 400, SAN FRANCISCO, CA, 94104
- Phone
- 628-218-5315
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $874.5M
- Discretionary AUM
- $91.6M
- Non-discretionary AUM
- $782.9M
- Discretionary accounts
- 22
- Non-discretionary accounts
- 2
- Total accounts
- 24
- AUM per client
- $43.7M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | Fewer than 5 | Not reported |
| Non-U.S. persons | Fewer than 5 | Not reported |
| Insurance companies | Fewer than 5 | Not reported |
| Charitable organizations | Fewer than 5 | Not reported |
| Other investment advisers | Fewer than 5 | Not reported |
| High net worth individuals | 20 | $874.5M |
| Banking or thrift institutions | Fewer than 5 | Not reported |
| Pension and profit sharing plans | Fewer than 5 | Not reported |
| State or municipal government entities | Fewer than 5 | Not reported |
| Individuals (other than high net worth individuals) | Fewer than 5 | Not reported |
Compensation & activities
ADV Items 5E, 5GCompensation
- Other
- Fixed fees
- Other (described) — ASSETS UNDER ADVISEMENT, COST PLUS FEES, INSTITUTIONAL PRICING
Advisory activities
- Financial planning services
- Selection of other advisers
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- Yes
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- Yes
- 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 |
|---|---|---|---|---|
| Oct 1, 2026 | Registration | APPROVED-120 | APPROVED | |
| Jul 1, 2026 | Registration | — | APPROVED-120 |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “BROADSIDE WEALTH” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“BROADSIDE WEALTH” 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.