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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

BROADFIN CAPITAL, LLC

CRD 156900

NEW YORK, NY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:1ecda74c-edca-5135-b2b1-1493d8113113

Data as of Mar 19, 2020 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 7:45 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Feb 14, 2012 to Mar 19, 2020
17 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $740MItem 5.F on the latest filing (2020-03-19); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $740M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 9
Advisory employees: 5
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 3
Private funds: 1Schedule D 7.B(1)
Private fund GAV: $740Mgross asset value as reported per fund; never fund size
Custody, client assets: $740M
SEC number: 801-73567
CRD: 156900
Filings on the tape: 17
First filed: Feb 14, 2012
Latest filed: Mar 19, 2020
Organised: Limited Liability Company, Delaware

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
BROADFIN HEALTHCARE MASTER FUND, LTD.	Hedge Fund	$32.4M	May 26, 2022	207	Feb 14, 2012	reported	021-86445

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
KOTLER, KEVIN	MANAGING MEMBER	E	yes	08/2005	Feb 14, 2012	Mar 19, 2020
MESSAFI, NIR	CHIEF FINANCIAL OFFICER, CHIEF COMPLIANCE OFFICER	Na	yes	04/2016	Apr 5, 2016	Mar 19, 2020

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
BROADFIN ADVISORS, LLC	n/a	n/a	n/a	N	yes	n/a

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2019	Mar 19, 2020	$740M	$740M	9	5	0	1	$740M
2018	Mar 29, 2019	$645M	$645M	10	5	0	1	$645M
2017	Mar 29, 2018	$844M	$844M	13	6	0	1	$844M
2016	Mar 31, 2017	$1.3B	$1.3B	10	4	n/a	1	$1.3B
2015	Mar 29, 2016	$1.9B	$1.9B	11	6	n/a	1	$1.9B
2014	Mar 30, 2015	$1.6B	$1.6B	9	4	n/a	1	$1.6B
2013	Mar 27, 2014	$1.3B	$1.3B	7	5	n/a	1	$1.3B
2012	Feb 22, 2013	$636M	$636M	7	4	n/a	1	$636M

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2019	$740M	$645M	14.6%	$1.3B	-16.8%	9	10	0	0

Relationships

Advises (1)

→ BROADFIN HEALTHCARE MASTER FUND, LTD.Private fundHedge Fund, ERA
Feb 14, 2012 to presentfactForm ADV

Controls (2)

← KOTLER, KEVINOwnerMANAGING MEMBER, ownership code E, individual
Feb 14, 2012 to presentfactForm ADV
← MESSAFI, NIROwnerCHIEF FINANCIAL OFFICER, CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Apr 5, 2016 to presentfactForm ADV

Dated events

Occurred
Mar 29, 2018
Regulatory AUM changed
Broadfin Capital, Llc reported RAUM $844.4M, down 34% from $1.3B (2017-03-31 to 2018-03-29)
Form ADVobserved 5 days ago
$-438M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:1ecda74c-edca-5135-b2b1-1493d8113113
First observed: Feb 14, 2012
Last observed: Mar 19, 2020 79 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

BROADFIN CAPITAL, LLC

CRD 156900

NEW YORK, NY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:1ecda74c-edca-5135-b2b1-1493d8113113

Data as of Mar 19, 2020 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 7:45 AM UTC and rebuilt at most every 15 minutes.

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

BROADFIN HEALTHCARE MASTER FUND, LTD.

Hedge Fund

$32.4M

May 26, 2022

207

Feb 14, 2012

reported

021-86445

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

KOTLER, KEVIN

MANAGING MEMBER

yes

08/2005

Feb 14, 2012

Mar 19, 2020

MESSAFI, NIR

CHIEF FINANCIAL OFFICER, CHIEF COMPLIANCE OFFICER

yes

04/2016

Apr 5, 2016

Mar 19, 2020

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

BROADFIN ADVISORS, LLC

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2019

Mar 19, 2020

$740M

2018

Mar 29, 2019

$645M

2017

Mar 29, 2018

$844M

2016

Mar 31, 2017

$1.3B

n/a

$1.3B

2015

Mar 29, 2016

$1.9B

n/a

$1.9B

2014

Mar 30, 2015

$1.6B

n/a

$1.6B

2013

Mar 27, 2014

$1.3B

n/a

$1.3B

2012

Feb 22, 2013

$636M

n/a

$636M

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2019

$740M

$645M

14.6%

$1.3B

-16.8%