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BROADSIDE WEALTH

SAN FRANCISCO, CA · CRD 342220 · IAPD ↗ · 628-218-5315

$874.5MRegulatory AUM
4Advisory reps
5Employees
0Clients
11-25Planning clients
0Private funds
2States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

45
October 2026 — BROADSIDE WEALTH notice-filed in NY.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
53
October 2026 — BROADSIDE WEALTH added office(s): 0 -> 1 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
64
October 2026 — BROADSIDE WEALTH reports 11-25 financial-planning clients, up from 0.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
68
October 2026 — BROADSIDE WEALTH now reports custody of client assets ($25.0M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
71
October 2026 — BROADSIDE WEALTH grew from 1 to 4 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
73
October 2026 — BROADSIDE WEALTH's provisional registration is now fully approved.
120-day provisional registration became a full approval.
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
95
July 2026 — BROADSIDE WEALTH (SAN FRANCISCO, CA) is newly SEC-registered (provisional 120-day approval) with $0 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.