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
Mcbroom & Associates, LLC
Latest filing May 14, 2026
First filing on the tape Mar 27, 2012 · 14 filings
SEC status approved since May 12, 2021
RAUM
$242M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
94%
$229M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$80.7M
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$242M as of May 14, 2026
Mar 27, 2012$40.0M then
HNW client RAUM$218M as of May 14, 2026
Mar 31, 2022$120M then
State-registered IARs (5.B.3)3 as of May 14, 2026
Mar 27, 20120 then
Employees (5.A)4 as of May 14, 2026
Mar 31, 20223 then
Private funds: no history
RAUM +12% over the last fiscal year+25% a year over threeIARs 2 to 3
Practice profile
derived from the filing of May 14, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $80.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 37derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.8MderivedHNW RAUM over HNW clients
- Average account
- $942,002derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 5.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +17%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- Custody
- $53.3M, 34 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$218M90%
- Charitable organizations$13.6M5.6%
- Individuals$10.3M4.3%
- Individual clients
- 52reported
- HNW clients
- 58reported
- Pension plan clients
- 0reported
- Charitable clients
- 4reported
- Accounts
- 257reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $53.3M for 34 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.94 fund_share=0.0 institutional_share=0.06 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Martin Willey Mcbroom | Las Vegas, Nv | Mar 29, 2010 | 44 y | 1 |
| Yuko T Du BoisCertified Financial Planner | Las Vegas, Nv | Mar 28, 2012 | 26 y | 2 |
| Corey Jerome Bryant | Las Vegas, Nv | Jul 2, 2025 | 13 y | 1 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- Corey Jerome Bryant from T. Rowe Price Advisory Services, Inc.Jul 2, 2025 · Other
- Yuko T Du Bois from United Capital Financial AdvisorsMar 28, 2012 · Other
- Martin Willey Mcbroom from Marks Mcbroom Walston & Company, Inc.Mar 29, 2010 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Willey Martin Mcbroom · President And Ceocontrolsince 01/2012 · owns 75% or more
- T Yuko Du Bois · Chief Compliance Officersince 01/2012 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Las Vegas, Nv · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 206 to 257Mar 14, 2025 to Mar 27, 2026
- HNW clients · 57 to 58Mar 14, 2025 to Mar 27, 2026
- Individual clients · 37 to 52Mar 14, 2025 to Mar 27, 2026
- Assets in custody · $50.6M to $53.3MMar 14, 2025 to Mar 27, 2026
- State-registered IARs · 2 to 3Mar 14, 2025 to Mar 27, 2026
- Discretionary RAUM · $214M to $241MMar 14, 2025 to Mar 27, 2026
- HNW RAUM · $197M to $218MMar 14, 2025 to Mar 27, 2026
- Individual RAUM · $6.1M to $10.3MMar 14, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $1.4M to $1.5MMar 14, 2025 to Mar 27, 2026
- RAUM · $215M to $242MMar 14, 2025 to Mar 27, 2026
- Accounts · 197 to 206Jul 25, 2024 to Mar 14, 2025
- Corporate clients · 2 to 0Jul 25, 2024 to Mar 14, 2025
- HNW clients · 60 to 57Jul 25, 2024 to Mar 14, 2025
- Individual clients · 30 to 37Jul 25, 2024 to Mar 14, 2025
- Assets in custody · $24.8M to $50.6MJul 25, 2024 to Mar 14, 2025
- Financial planning clients · 0 to 0Jul 25, 2024 to Mar 14, 2025
- Discretionary RAUM · $172M to $214MJul 25, 2024 to Mar 14, 2025
- HNW RAUM · $153M to $197MJul 25, 2024 to Mar 14, 2025
- Individual RAUM · $4.3M to $6.1MJul 25, 2024 to Mar 14, 2025
- Non-discretionary RAUM · $1.0M to $1.4MJul 25, 2024 to Mar 14, 2025
- RAUM · $173M to $215MJul 25, 2024 to Mar 14, 2025
- Accounts · 161 to 197Mar 31, 2023 to Mar 29, 2024
- Advisory employees · 3 to 2Mar 31, 2023 to Mar 29, 2024
- Charity clients · 5 to 4Mar 31, 2023 to Mar 29, 2024
- Corporate clients · 1 to 2Mar 31, 2023 to Mar 29, 2024
- HNW clients · 49 to 60Mar 31, 2023 to Mar 29, 2024
- Individual clients · 26 to 30Mar 31, 2023 to Mar 29, 2024
- Assets in custody · $20.8M to $24.8MMar 31, 2023 to Mar 29, 2024
- State-registered IARs · 3 to 2Mar 31, 2023 to Mar 29, 2024
- Discretionary RAUM · $124M to $172MMar 31, 2023 to Mar 29, 2024
- HNW RAUM · $112M to $153MMar 31, 2023 to Mar 29, 2024
- Individual RAUM · $2.9M to $4.3MMar 31, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $681,777 to $1.0MMar 31, 2023 to Mar 29, 2024
- RAUM · $124M to $173MMar 31, 2023 to Mar 29, 2024
- Accounts · 157 to 161May 3, 2022 to Mar 31, 2023
- Advisory employees · 2 to 3May 3, 2022 to Mar 31, 2023
- Charity clients · 4 to 5May 3, 2022 to Mar 31, 2023
- Corporate clients · 3 to 1May 3, 2022 to Mar 31, 2023
- Individual clients · 23 to 26May 3, 2022 to Mar 31, 2023
- Assets in custody · $20.2M to $20.8MMay 3, 2022 to Mar 31, 2023
Signals
1 dated events
- Mcbroom & Associates, Llc filed its initial SEC registration (Form ADV)Apr 14, 2021 · 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
- Principal office phone
- 702-267-6649reportedpublic record, Form ADV, May 14, 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
- $80.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026