DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Broadshore Capital Partners, LLC
Latest filing Jul 28, 2026
First filing on the tape Mar 30, 2012 · 28 filings
SEC status approved since Jan 2, 2003
RAUM
$982M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
16
11 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$982M as of Jul 28, 2026
Mar 30, 2012$1.5B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jul 28, 2026
Mar 30, 20120 then
Employees (5.A)16 as of Jul 28, 2026
Apr 1, 201323 then
Private funds: no history
RAUM -13% over the last fiscal year-8.5% a year over threeIARs 0 to 0offices 3 to 2
Practice profile
derived from the filing of Jul 28, 2026; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $89.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 50%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- -13%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, performance-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, pension consulting, otherreportedItem 5.G
- Custody
- $224M, 11 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- State and municipal entities$492M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 11reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $224M for 11 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=0.5 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Nmn Elena Branzburg · General Counsel And Chief Compliance Officercontrolsince 03/2020 · owns less than 5%
- A. Maurice Gordon · Directorcontrolsince 08/2024 · owns less than 5%
- Wilson Bradford Howe · Ceo, Director, Member And Investment Committee Chaircontrolsince 08/2010 · owns 5% to 10%
- Nmn Nicholas Liolis · Directorcontrolsince 03/2023 · owns less than 5%
- Nmn Felix Lurye · Directorcontrolsince 08/2024 · owns less than 5%
- Joseph Matthew Mason · Chief Financial Officercontrolsince 06/2019 · owns less than 5%
- Dean Russell Munn · Member & Chief Operating Officercontrolsince 02/2019 · owns less than 5%
- Anne Kerri O'Neill · Member & Chief Performance Officercontrolsince 01/2002 · owns less than 5%
Entity owners
- Guardian Broadshore, LLC · Memberdirect · owns 75% or more
- Guardian Investor Services, LLC · Memberindirect · owns 75% or more of Hanover Square Real Estate Management LLC
- Hanover Square Lcp LLC · Memberindirect · owns 75% or more of Guardian Broadshore, LLC
- Hanover Square Real Estate Management LLC · Memberindirect · owns 75% or more of Hanover Square Lcp LLC
- The Guardian Life Insurance Company Of America · Memberindirect · owns 75% or more of Guardian Investor Services, LLC
Related persons
Schedule D 7.A
- Park Avenue Institutional Advisers LLCinvestment adviserbanknRAUM $82B
- Guardian Wealth Partners, LLCinvestment advisernRAUM $191M
- Park Avenue Securities LLCbroker-dealerinvestment advisernRAUM $20B
- The Guardian Insurance & Annuity Company, Inc.real estaten
- The Guardian Life Insurance Company Of Americareal estatey
Advisers that list Broadshore Capital Partners, LLC as a related person
Offices
Schedule D 1.F, the 25 largest
- New York, NY3 employees
- , 1 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Jul 28, 2026discretionary share of RAUM of 0% against a peer median of 100% (95 comparable advisers, 0.0th percentile, 33.7 robust deviations)peers: other advisers, $500M to $1B (95) · 0.0% percentile
- employee count dropChange between filings · filing Mar 30, 2026employees (Item 5.A) moved from 24.0 to 16.0 (-33.0%) between the annual amendments of 2025-03-27 and 2026-03-30; the peer median change was -6.0% (27 comparable advisers, 8.0th percentile of changes)peers: other advisers, $500M to $1B (27) · 7.7% percentile
What changed
consecutive filings, newest first
- Accounts · 13 to 11Sep 24, 2025 to Mar 30, 2026
- Assets in custody · $339M to $224MSep 24, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $1.1B to $982MSep 24, 2025 to Mar 30, 2026
- RAUM · $1.1B to $982MSep 24, 2025 to Mar 30, 2026
- Advisory employees · 15 to 11Mar 27, 2025 to Sep 24, 2025
- Employees · 24 to 16Mar 27, 2025 to Sep 24, 2025
- Other offices · 3 to 2Mar 27, 2025 to Sep 24, 2025
- Related adviser · true to falseMar 27, 2025 to Sep 24, 2025
- Related bank · true to falseMar 27, 2025 to Sep 24, 2025
- Related broker-dealer · true to falseMar 27, 2025 to Sep 24, 2025
- Accounts · 14 to 13Aug 27, 2024 to Mar 27, 2025
- Assets in custody · $288M to $339MAug 27, 2024 to Mar 27, 2025
- Financial planning clients · unset to Aug 27, 2024 to Mar 27, 2025
- Non-discretionary RAUM · $1.2B to $1.1BAug 27, 2024 to Mar 27, 2025
- RAUM · $1.2B to $1.1BAug 27, 2024 to Mar 27, 2025
- Accounts · 19 to 14Jan 16, 2024 to Mar 25, 2024
- Advisory employees · 16 to 15Jan 16, 2024 to Mar 25, 2024
- Assets in custody · $393M to $288MJan 16, 2024 to Mar 25, 2024
- Employees · 26 to 24Jan 16, 2024 to Mar 25, 2024
- Non-discretionary RAUM · $1.3B to $1.2BJan 16, 2024 to Mar 25, 2024
- RAUM · $1.3B to $1.2BJan 16, 2024 to Mar 25, 2024
- Accounts · 18 to 19Mar 27, 2023 to Apr 27, 2023
- Accounts · 21 to 18May 31, 2022 to Mar 27, 2023
- Advisory employees · 18 to 16May 31, 2022 to Mar 27, 2023
- Assets in custody · $442M to $393MMay 31, 2022 to Mar 27, 2023
- Employees · 28 to 26May 31, 2022 to Mar 27, 2023
- Other offices · 2 to 3May 31, 2022 to Mar 27, 2023
- Non-discretionary RAUM · $1.8B to $1.3BMay 31, 2022 to Mar 27, 2023
- RAUM · $1.8B to $1.3BMay 31, 2022 to Mar 27, 2023
- Related bank · false to trueMay 31, 2022 to Mar 27, 2023
- Accounts · 19 to 21Mar 31, 2021 to Mar 14, 2022
- Advisory employees · 21 to 18Mar 31, 2021 to Mar 14, 2022
- Assets in custody · $35.8M to $442MMar 31, 2021 to Mar 14, 2022
- Employees · 30 to 28Mar 31, 2021 to Mar 14, 2022
- Other offices · 1 to 2Mar 31, 2021 to Mar 14, 2022
- Non-discretionary RAUM · $1.8B to $1.8BMar 31, 2021 to Mar 14, 2022
- RAUM · $1.8B to $1.8BMar 31, 2021 to Mar 14, 2022
- Accounts · 20 to 19Jun 5, 2020 to Mar 31, 2021
- Advisory employees · 23 to 21Jun 5, 2020 to Mar 31, 2021
- Assets in custody · $29.2M to $35.8MJun 5, 2020 to Mar 31, 2021
Signals
28 dated events
- Treanor Robert O'Rourke (Director) no longer on Schedule A of Broadshore Capital Partners, Llc (listed 2024-03-25, absent 2024-08-27)Aug 27, 2024 · Control person left · inference
- Nmn Robert Locascio (Director) no longer on Schedule A of Broadshore Capital Partners, Llc (listed 2024-03-25, absent 2024-08-27)Aug 27, 2024 · Control person left · inference
- A. Maurice Gordon (Director) appeared on Schedule A of Broadshore Capital Partners, LlcAug 27, 2024 · Control person joined · fact
- Nmn Felix Lurye (Director) appeared on Schedule A of Broadshore Capital Partners, LlcAug 27, 2024 · Control person joined · fact
- Loretta Margherita Dimanni (Director) no longer on Schedule A of Broadshore Capital Partners, Llc (listed 2024-01-16, absent 2024-03-25)Mar 25, 2024 · Control person left · inference
- C Roberto Ecker (Director) no longer on Schedule A of Broadshore Capital Partners, Llc (listed 2024-01-16, absent 2024-03-25)Mar 25, 2024 · Control person left · inference
- Harold John Walter (Director) no longer on Schedule A of Broadshore Capital Partners, Llc (listed 2024-01-16, absent 2024-03-25)Mar 25, 2024 · Control person left · inference
- Patrick Thomas Lydon (Director) no longer on Schedule A of Broadshore Capital Partners, Llc (listed 2023-04-27, absent 2024-01-16)Jan 16, 2024 · Control person left · inference
- Broadshore Capital Partners, Llc reported RAUM $1.3B, down 27% from $1.8B (2022-05-31 to 2023-03-27)Mar 27, 2023 · RAUM change · derived
- Casey Jean Latorre (Director) no longer on Schedule A of Broadshore Capital Partners, Llc (listed 2022-05-31, absent 2023-03-27)Mar 27, 2023 · Control person left · inference
- Nicholas Liolis (Director) appeared on Schedule A of Broadshore Capital Partners, LlcMar 27, 2023 · Control person joined · fact
- Harold John Walter (Director) appeared on Schedule A of Broadshore Capital Partners, LlcMay 31, 2022 · Control person joined · fact
- Casey Jean Latorre (Director) appeared on Schedule A of Broadshore Capital Partners, LlcMar 30, 2020 · Control person joined · fact
- Joseph Matthew Mason (Chief Financial Officer) appeared on Schedule A of Broadshore Capital Partners, LlcMar 30, 2020 · Control person joined · fact
- Elena Branzburg (General Counsel/Chief Compliance Officer) appeared on Schedule A of Broadshore Capital Partners, LlcMar 30, 2020 · Control person joined · fact
- C Roberto Ecker (Director) appeared on Schedule A of Broadshore Capital Partners, LlcMar 30, 2020 · Control person joined · fact
- George Thomas Sorell (Director) no longer on Schedule A of Broadshore Capital Partners, Llc (listed 2019-03-28, absent 2020-03-30)Mar 30, 2020 · Control person left · inference
- Joseph Jeremy Iaccino (Chief Financial Officer) no longer on Schedule A of Broadshore Capital Partners, Llc (listed 2019-03-28, absent 2020-03-30)Mar 30, 2020 · Control person left · inference
- Joseph Michael Bessel (Chief Compliance Officer) no longer on Schedule A of Broadshore Capital Partners, Llc (listed 2019-03-28, absent 2020-03-30)Mar 30, 2020 · Control person left · inference
- Hunter John Flannigan (Director) no longer on Schedule A of Broadshore Capital Partners, Llc (listed 2019-03-28, absent 2020-03-30)Mar 30, 2020 · Control person left · inference
- Broadshore Capital Partners, Llc reported RAUM $1.7B, down 46% from $3.2B (2019-01-31 to 2019-03-28)Mar 28, 2019 · RAUM change · derived
- Isaac Andrew Sands (Member And Sr Vice President) no longer on Schedule A of Broadshore Capital Partners, Llc (listed 2019-01-31, absent 2019-03-28)Mar 28, 2019 · Control person left · inference
- Hunter John Flannigan (Director) appeared on Schedule A of Broadshore Capital Partners, LlcMar 28, 2019 · Control person joined · fact
- Loretta Margherita Dimanni (Director) appeared on Schedule A of Broadshore Capital Partners, LlcMar 28, 2019 · Control person joined · fact
- Robert Locascio (Director) appeared on Schedule A of Broadshore Capital Partners, LlcMar 28, 2019 · Control person joined · fact
- James Robert Lowe (Shareholder) no longer on Schedule A of Broadshore Capital Partners, Llc (listed 2018-07-03, absent 2019-01-31)Jan 31, 2019 · Control person left · inference
- Michael John Demarco (Chief Legal Officer/Chief Compliance Officer) no longer on Schedule A of Broadshore Capital Partners, Llc (listed 2018-07-03, absent 2019-01-31)Jan 31, 2019 · Control person left · inference
- Joseph Michael Bessel (Chief Compliance Officer) appeared on Schedule A of Broadshore Capital Partners, LlcJan 31, 2019 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/broadshore-capital-partnersreportedpublic record, Form ADV, Sep 18, 2026
- Website
- broadshore.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 800-261-4481reportedpublic record, Form ADV, Jul 28, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Other adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026