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

Broadway Wealth Solutions

Independent wealth managerSan Antonio, TexasCRD 291753SEC 801-124953websiteIAPD
Legal name Broadway Wealth Solutions, Inc.
Latest filing Aug 13, 2026
First filing on the tape Apr 5, 2022 · 19 filings
SEC status approved since May 5, 2022
RAUM
$308M
reported, Item 5.F
Discretionary
89%
of RAUM
Private clients
95%
$294M individuals and HNW
Advisors
11
registered through the firm on IAPD
RAUM per advisor
$28.0M
derived; firm RAUM over IAPD count
Employees
11
11 advisory (5.B.1)
Offices
25
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$308M as of Aug 13, 2026
Mar 15, 2023$148M then
HNW client RAUM$149M as of Aug 13, 2026
Mar 15, 2023$49.0M then
State-registered IARs (5.B.3)11 as of Aug 13, 2026
Mar 15, 202310 then
Employees (5.A)11 as of Aug 13, 2026
Mar 15, 202310 then
Private funds: no history
RAUM +16% over the last fiscal year+28% a year over threeIARs 12 to 11offices 27 to 25
Practice profile
derived from the filing of Aug 13, 2026; every figure names its basis
Archetypes, each a printed rule
  • Bank affiliated · Item 7.A.6 or 7.A.7 (bank or trust company affiliate) and a bank, bancorp or trust company as a 50 percent or greater owner on Schedule A
  • HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
RAUM per advisor
$28.0MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
80derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$982,171derivedHNW RAUM over HNW clients
Average account
$245,655derivedRAUM over accounts (5.F.2.f)
Discretionary
89%derivedof RAUM
Institutional
1.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
0.4derived26 offices incl. principal (1.F.5)
RAUM growth, one year
+16%derivedbetween the last two annual amendments
Advisor growth, one year
-8.3%derivedItem 5.B.3 between annual amendments
Client growth, one year
+20%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
Custody
$279M, 906 clientsreportedItem 9.A
Ownership
a bank, bancorp or trust company is a 50 percent or greater ownerderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • is an insurance broker or agent (6.A.6)
  • 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)
  • a related person has custody of client cash (9.B.1.a)
  • a related person acts as qualified custodian (9.D.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$149M48%
  • Individuals$145M47%
  • Corporations and businesses$9.7M3.1%
  • Charitable organizations$4.2M1.4%
  • Pension and profit-sharing plans$178,6320.1%
Individual clients
723reported
HNW clients
152reported
Pension plan clients
1reported
Charitable clients
4reported
Accounts
1,254reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
$279M for 906 clientsreported
Compensation
% of AUMreported
Class basis
private_client_share=0.95 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
11 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
Thomas Jordan WrightSan Antonio, TxApr 2, 201910 y2
Christian Ray EscamillaSan Antonio, TxSep 29, 202023 y2
Khristene Ann CanoSan Antonio, TxNov 16, 202017 y3
Nicole Ann LopezSan Antonio, TxJul 1, 202111 y0
Michael Dennis Louis RyanSan Antonio, TxNov 14, 202212 y2
Ernesto AguilarSan Antonio, TxApr 12, 202310 y6
Paul Anthony FigueroaSan Antonio, TxJun 6, 202310 y0
Alfonso CharlesSan Antonio, TxAug 29, 202412 y0
Gayle Marie RodriguezSan Antonio, TxMay 12, 202511 y1
Robin Jade BadilloSan Antonio, TxDec 10, 202522 y0
Harlee Caroline HolcombSan Antonio, TxJan 25, 202610 y1
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 headcount5 left over 36 months
Left, latest
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Ann Khristene Cano · Chief Compliance Officer/Presidentcontrol
    since 01/2021 · owns less than 5%
  • Ray Christian Escamilla · Chief Executive Officercontrol
    since 06/2020 · owns less than 5%
Entity owners
  • Broadway National Bank · Owner
    direct · owns 75% or more
Related persons
Schedule D 7.A
  • Broadway National Bank
    custodiany
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
San Antonio, Tx · principal1120
Offices
Schedule D 1.F, the 25 largest
  • Austin, TX2 employees
  • Bee Cave, TX2 employees
  • Boerne, TX2 employees
  • Buda, TX2 employees
  • Castroville, TX2 employees
  • Dripping Springs, TX2 employees
  • Fredericksburg, TX2 employees
  • Helotes, TX2 employees
  • Kerrville, TX2 employees
  • Kyle, TX2 employees
  • New Braunfels, TX2 employees
  • San Antonio, TX2 employees
  • San Antonio, TX2 employees
  • San Antonio, TX2 employees
  • San Antonio, TX2 employees
  • San Antonio, TX2 employees
  • San Antonio, TX2 employees
  • San Antonio, TX2 employees
  • San Antonio, TX2 employees
  • San Antonio, TX2 employees
  • San Antonio, TX2 employees
  • San Antonio, TX2 employees
  • San Antonio, TX2 employees
  • Schertz, TX2 employees
  • Seguin, TX2 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
  • high office count relative to headcountStatic outlier · filing Aug 13, 2026
    offices per registered advisor of 2.4 against a peer median of 0.6 (577 comparable advisers, 99.0th percentile, 6.9 robust deviations)
    peers: independent wealth managers, $100M to $500M (577) · 99% percentile
How anomalies are measured
What changed
consecutive filings, newest first
  • Accounts · 1,171 to 1,254
    Jul 25, 2025 to Mar 5, 2026
  • Advisory employees · 10 to 11
    Jul 25, 2025 to Mar 5, 2026
  • Corporate clients · 23 to 26
    Jul 25, 2025 to Mar 5, 2026
  • HNW clients · 129 to 152
    Jul 25, 2025 to Mar 5, 2026
  • Individual clients · 598 to 723
    Jul 25, 2025 to Mar 5, 2026
  • Assets in custody · $239M to $279M
    Jul 25, 2025 to Mar 5, 2026
  • Employees · 10 to 11
    Jul 25, 2025 to Mar 5, 2026
  • State-registered IARs · 10 to 11
    Jul 25, 2025 to Mar 5, 2026
  • Other offices · 27 to 25
    Jul 25, 2025 to Mar 5, 2026
  • Discretionary RAUM · $234M to $274M
    Jul 25, 2025 to Mar 5, 2026
  • HNW RAUM · $132M to $149M
    Jul 25, 2025 to Mar 5, 2026
  • Individual RAUM · $121M to $145M
    Jul 25, 2025 to Mar 5, 2026
  • Non-discretionary RAUM · $32.2M to $34.2M
    Jul 25, 2025 to Mar 5, 2026
  • Pension RAUM · $160,366 to $178,632
    Jul 25, 2025 to Mar 5, 2026
  • RAUM · $266M to $308M
    Jul 25, 2025 to Mar 5, 2026
  • Financial planning clients · unset to
    May 30, 2025 to Jul 25, 2025
  • Advisory employees · 12 to 10
    Mar 24, 2025 to May 30, 2025
  • Employees · 12 to 10
    Mar 24, 2025 to May 30, 2025
  • State-registered IARs · 12 to 10
    Mar 24, 2025 to May 30, 2025
  • Accounts · 1,103 to 1,171
    Sep 13, 2024 to Mar 24, 2025
  • Charity clients · 5 to 4
    Sep 13, 2024 to Mar 24, 2025
  • HNW clients · 115 to 129
    Sep 13, 2024 to Mar 24, 2025
  • Individual clients · 546 to 598
    Sep 13, 2024 to Mar 24, 2025
  • Assets in custody · $0 to $239M
    Sep 13, 2024 to Mar 24, 2025
  • Discretionary RAUM · $189M to $234M
    Sep 13, 2024 to Mar 24, 2025
  • HNW RAUM · $134M to $132M
    Sep 13, 2024 to Mar 24, 2025
  • Individual RAUM · $103M to $121M
    Sep 13, 2024 to Mar 24, 2025
  • Non-discretionary RAUM · $61.4M to $32.2M
    Sep 13, 2024 to Mar 24, 2025
  • Pension RAUM · $135,398 to $160,366
    Sep 13, 2024 to Mar 24, 2025
  • RAUM · $251M to $266M
    Sep 13, 2024 to Mar 24, 2025
  • Advisory employees · 11 to 12
    Mar 15, 2024 to Sep 13, 2024
  • Employees · 11 to 12
    Mar 15, 2024 to Sep 13, 2024
  • State-registered IARs · 11 to 12
    Mar 15, 2024 to Sep 13, 2024
  • Accounts · 929 to 1,103
    Nov 28, 2023 to Mar 15, 2024
  • Charity clients · unset to 5.0
    Nov 28, 2023 to Mar 15, 2024
  • Corporate clients · 16 to 23
    Nov 28, 2023 to Mar 15, 2024
  • HNW clients · 27 to 115
    Nov 28, 2023 to Mar 15, 2024
  • Individual clients · 639 to 546
    Nov 28, 2023 to Mar 15, 2024
  • Pension plan clients · 0 to 1
    Nov 28, 2023 to Mar 15, 2024
  • Discretionary RAUM · $126M to $189M
    Nov 28, 2023 to Mar 15, 2024
Signals
12 dated events
  • Carlos Giovanni Castorena left Broadway Wealth Solutions for Titleist Asset Management, Llc (registered 2025-08-20)
    Aug 11, 2025 · Advisor changed firm · fact
  • Fredy L Tun Cifuentes left Broadway Wealth Solutions for Merrill Lynch, Pierce, Fenner & Smith Incorporated (registered 2025-02-14)
    Jan 16, 2025 · Advisor changed firm · fact
  • Jonathan Sharg left Broadway Wealth Solutions for Fisher Investments (registered 2025-01-16)
    Jan 16, 2025 · Advisor changed firm · fact
  • Gloria Cisneros left Broadway Wealth Solutions for Sendero Wealth Management, Llc (registered 2024-05-15)
    May 7, 2024 · Advisor changed firm · fact
  • Broadway Wealth Solutions reported RAUM $250.8M, up 69% from $148.1M (2023-11-28 to 2024-03-15)
    Mar 15, 2024 · RAUM change · derived
  • Sandra Elodia Justin left Broadway Wealth Solutions for Pax Financial Group (registered 2025-07-10)
    Dec 13, 2023 · Advisor changed firm · fact
  • Scott Andrew Meenan left Broadway Wealth Solutions for J.P. Morgan Securities Llc (registered 2023-04-19)
    Mar 29, 2023 · Advisor changed firm · fact
  • Broadway Wealth Solutions reported 27 offices beyond its principal office, down from 34 (2022-05-31 to 2023-03-15)
    Mar 15, 2023 · Office count change · derived
  • Ernesto Aguilar left Broadway Wealth Solutions for J.P. Morgan Securities Llc (registered 2022-10-19)
    Aug 26, 2022 · Advisor changed firm · fact
  • Justin Temple left Broadway Wealth Solutions for J.P. Morgan Securities Llc (registered 2022-06-01)
    May 13, 2022 · Advisor changed firm · fact
  • Broadway Wealth Solutions filed its initial SEC registration (Form ADV)
    Apr 5, 2022 · First SEC registration · fact
  • Lee Anne Przybyla left Broadway Wealth Solutions for Facet (registered 2022-01-18)
    Jan 14, 2022 · Advisor changed firm · 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
800-531-7650reportedpublished by the firm, firm site, Sep 17, 2026
Firm profile
linkedin.com/company/broadwaywealthsolutionsincreportedpublic record, Form ADV, Sep 17, 2026
Website
broadway.bankreportedpublic record, Form ADV, Sep 17, 2026
Principal office phone
(210) 283-6600reportedpublic record, Form ADV, Aug 13, 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
$28.0Mderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026