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
Broadview Financial Management, LLC
Latest filing Mar 30, 2026
First filing on the tape Feb 1, 2013 · 23 filings
SEC status approved since Feb 13, 2013
RAUM
$699M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$697M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$117M
derived; firm RAUM over IAPD count
Employees
9
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$699M as of Mar 30, 2026
Mar 31, 2014$208M then
HNW client RAUM$661M as of Mar 30, 2026
Mar 30, 2018$335M then
State-registered IARs (5.B.3)6 as of Mar 30, 2026
Mar 31, 20144 then
Employees (5.A)9 as of Mar 30, 2026
Mar 31, 20147 then
Private funds: no history
RAUM +12% over the last fiscal year+15% a year over threeIARs 6 to 6
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $117MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 45derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.2MderivedHNW RAUM over HNW clients
- Average account
- $544,581derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 6.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.1%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, educational seminarsreportedItem 5.G
- Custody
- $535M, 178 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
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$661M95%
- Individuals$36.1M5.2%
- Charitable organizations$2.1M0.3%
- Individual clients
- 60reported
- HNW clients
- 209reported
- Pension plan clients
- 0reported
- Charitable clients
- n/areported
- Accounts
- 1,284reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $535M for 178 clientsreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Matthew Paul GoihlCertified Financial Planner | Wauwatosa, Wi | Aug 4, 2009 | 18 y | 0 |
| Joseph Banfay DaileyCertified Financial Planner | Wauwatosa, Wi | Feb 7, 2011 | 30 y | 2 |
| Adam William DodgeCertified Financial Planner | Wauwatosa, Wi | Jan 1, 2012 | 17 y | 1 |
| Amanda Hunn TaylorCertified Financial Planner | Wauwatosa, Wi | Aug 13, 2016 | 27 y | 2 |
| Lisa Eileen DregneCertified Financial Planner | Wauwatosa, Wi | Oct 14, 2022 | 14 y | 5 |
| Nathan TurcotteCertified Financial Planner | Wauwatosa, Wi | Mar 6, 2026 | 13 y | 2 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- Andrew John Ish to Prepared Financial PlanningMay 31, 2023 · RIA to a state-registered adviser
- Daniel Richard Zawidowski to Jacobson & Schmitt Advisors, LLCAug 13, 2021 · RIA to RIA
Joined, latest
- Nathan Turcotte from Strategic Advisers LLCMar 6, 2026 · Affiliated broker-dealer or bank to independent RIA
- Lisa Eileen Dregne from Global View Capital Management LLCOct 14, 2022 · RIA to RIA
- Andrew John Ish from Brownson, Rehmus & Foxworth, Inc.Aug 13, 2021 · RIA to RIA
- Amanda Hunn Taylor from Strategic Advisers LLCAug 13, 2016 · Other
- Daniel Richard Zawidowski from Barrington Strategic Wealth Management Group LLCApr 12, 2016 · Other
- Adam William Dodge from Strategic Advisers LLCJan 1, 2012 · Other
- Joseph Banfay Dailey from Strategic Advisers LLCFeb 7, 2011 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Banfay Joseph Dailey · Owner, Manager & Ciocontrolsince 01/2015 · owns 25% to 50%
- William Adam Dodge · Owner & Managercontrolsince 09/2016 · owns 10% to 25%
- Paul Matthew Goihl · Owner & Managercontrolsince 01/2015 · owns 25% to 50%
- Lynne Angela Pingel · Owner, Manager, General Counsel & Ccocontrolsince 03/2020 · owns 5% to 10%
- Hunn Amanda Taylor · Owner & Managercontrolsince 01/2019 · owns 10% to 25%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Wauwatosa, Wi · principal | 6 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,273 to 1,284Mar 26, 2025 to Mar 30, 2026
- HNW clients · 190 to 209Mar 26, 2025 to Mar 30, 2026
- Individual clients · 71 to 60Mar 26, 2025 to Mar 30, 2026
- Assets in custody · $463M to $535MMar 26, 2025 to Mar 30, 2026
- Financial planning clients · 101-250 to 251-500Mar 26, 2025 to Mar 30, 2026
- Discretionary RAUM · $622M to $699MMar 26, 2025 to Mar 30, 2026
- HNW RAUM · $574M to $661MMar 26, 2025 to Mar 30, 2026
- Individual RAUM · $46.5M to $36.1MMar 26, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $907,570 to $0Mar 26, 2025 to Mar 30, 2026
- RAUM · $623M to $699MMar 26, 2025 to Mar 30, 2026
- Accounts · 1,284 to 1,273Mar 27, 2024 to Mar 26, 2025
- Advisory employees · 6 to 7Mar 27, 2024 to Mar 26, 2025
- HNW clients · 172 to 190Mar 27, 2024 to Mar 26, 2025
- Individual clients · 85 to 71Mar 27, 2024 to Mar 26, 2025
- Assets in custody · $414M to $463MMar 27, 2024 to Mar 26, 2025
- Financial planning clients · 101-250 to 101-250Mar 27, 2024 to Mar 26, 2025
- State-registered IARs · 5 to 6Mar 27, 2024 to Mar 26, 2025
- Discretionary RAUM · $548M to $622MMar 27, 2024 to Mar 26, 2025
- HNW RAUM · $486M to $574MMar 27, 2024 to Mar 26, 2025
- Individual RAUM · $59.1M to $46.5MMar 27, 2024 to Mar 26, 2025
- Non-discretionary RAUM · $738,796 to $907,570Mar 27, 2024 to Mar 26, 2025
- RAUM · $549M to $623MMar 27, 2024 to Mar 26, 2025
- Accounts · 1,282 to 1,284Mar 30, 2023 to Mar 27, 2024
- HNW clients · 158 to 172Mar 30, 2023 to Mar 27, 2024
- Individual clients · 94 to 85Mar 30, 2023 to Mar 27, 2024
- Assets in custody · $357M to $414MMar 30, 2023 to Mar 27, 2024
- State-registered IARs · 6 to 5Mar 30, 2023 to Mar 27, 2024
- Discretionary RAUM · $465M to $548MMar 30, 2023 to Mar 27, 2024
- HNW RAUM · $396M to $486MMar 30, 2023 to Mar 27, 2024
- Individual RAUM · $66.4M to $59.1MMar 30, 2023 to Mar 27, 2024
- Non-discretionary RAUM · $654,051 to $738,796Mar 30, 2023 to Mar 27, 2024
- RAUM · $465M to $549MMar 30, 2023 to Mar 27, 2024
- Accounts · 1,222 to 1,282Oct 13, 2022 to Mar 30, 2023
- HNW clients · 218 to 158Oct 13, 2022 to Mar 30, 2023
- Individual clients · 28 to 94Oct 13, 2022 to Mar 30, 2023
- Assets in custody · $415M to $357MOct 13, 2022 to Mar 30, 2023
- Discretionary RAUM · $535M to $465MOct 13, 2022 to Mar 30, 2023
- HNW RAUM · $521M to $396MOct 13, 2022 to Mar 30, 2023
- Individual RAUM · $12.3M to $66.4MOct 13, 2022 to Mar 30, 2023
- Non-discretionary RAUM · $631,046 to $654,051Oct 13, 2022 to Mar 30, 2023
Signals
5 dated events
- Andrew John Ish left Broadview Financial Management, Llc for Prepared Financial Planning (registered 2023-07-24)May 31, 2023 · Advisor changed firm · fact
- Michael F. Arnow (Owner & Manager) no longer on Schedule A of Broadview Financial Management, Llc (listed 2021-03-31, absent 2022-03-31)Mar 31, 2022 · Control person left · inference
- Steven Barry Sattell (Owner & Manager) no longer on Schedule A of Broadview Financial Management, Llc (listed 2020-03-30, absent 2020-06-29)Jun 29, 2020 · Control person left · inference
- Lynne Angela Pingel (General Counsel & Cco) appeared on Schedule A of Broadview Financial Management, LlcMar 30, 2020 · Control person joined · fact
- Sja Financial Advisory, Llc filed its initial SEC registration (Form ADV)Feb 1, 2013 · First SEC registration · 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
- Business phone
- 414-390-1492reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/broadview-financial-management-llcreportedpublic record, Form ADV, Sep 18, 2026
- Website
- SJAFA.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 414-390-1492reportedpublic record, Form ADV, Mar 30, 2026
- Team page
- broadviewfinancial.com/meet-the-teamreportedpublished by the firm, firm site, Sep 17, 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $117Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026