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BROADWEALTH LLC

· CRD 304356 · IAPD ↗ · 617-549-1990

$113.6MRegulatory AUM
1Advisory reps
1Employees
0Clients
11-25Planning clients
0Private funds
1States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

65
March 2024 — BROADWEALTH LLC now reports custody of client assets ($35.6M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
95
February 2024 — BROADWEALTH LLC (location n/a) is newly SEC-registered with $123.4M RAUM and 1 advisory reps.
Firm appears on the SEC roster for the first time (new RIA or state-to-SEC transition).
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.