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.
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SEC-registered adviser
R•••••••• P••••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Jun 30, 2023 · 6 filings
SEC status approved since Aug 1, 2023
RAUM
$115M
reported, Item 5.F
Discretionary
100%
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
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$115M as of Mar 31, 2026
Mar 28, 2024$154M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 28, 20240 then
Employees (5.A)4 as of Mar 31, 2026
Mar 28, 20245 then
Private funds3 as of Mar 31, 2026
Mar 28, 20244 then
RAUM -16% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 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
- $28.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -16%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 pooled vehiclesreportedItem 5.G
- Custody
- $115M, 4 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)
- 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
- Pooled investment vehicles$115M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 4reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $115M for 4 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 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
13 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| B••••••• S•••••••• R••••• F••• L• | Hedge Fund | $105M | 82 | Jun 28, 2021 |
| B••• M••••••• P••••••••• L• | Private Equity Fund | $25.1M | 1 | May 11, 2022 |
| M•••••••• I••••••••• P••••••••• L• | Private Equity Fund | $14.3M | 2 | Jun 28, 2021 |
| M•••••••• P••••••••• L• | Private Equity Fund | $9.3M | 2 | Jun 28, 2021 |
| R•• P••••••• L•• •••••• R•••• G•••••• S•••••• | Private Equity Fund | $1.5M | 6 | Mar 31, 2023 |
| R•• P••••••• L•• ••• S•••• S•••••• | Private Equity Fund | $1.1M | 3 | Mar 31, 2023 |
| R•• P••••••• L•• •••• S•••••• | Private Equity Fund | $925,000 | 4 | Mar 31, 2023 |
| R•• P••••••• L•• ••• T••• S•••••• | Private Equity Fund | $825,000 | 4 | Mar 31, 2023 |
| R•• P••••••• L•• •••••••• I••••••••• S•••••• | Private Equity Fund | $780,379 | 4 | Mar 31, 2023 |
| R•• P••••••• L•• •••• L••• I• H•• S•••••• | Private Equity Fund | $775,000 | 3 | Mar 31, 2023 |
| R•• P••••••• L•• ••••• P•• S•••••• | Private Equity Fund | $650,000 | 1 | Jun 30, 2023 |
| R•• P••••••• L•• ••• S•••••• | Private Equity Fund | $600,000 | 1 | Mar 31, 2023 |
| R•• P••••••• •••••••• F••• H••• S•••••• | Private Equity Fund | $250,000 | 1 | Jun 30, 2023 |
Owners and control persons
Schedule A and B, latest filing
- A•••••• H•••••• C•••••••• · Principalcontrolsince 03/2016 · owns 25% to 50%
- C•••••• C•••••• W•••• · Principalcontrolsince 03/2016 · owns 25% to 50%
- J•••••• J•••• A•••••••• · Principalcontrolsince 03/2016 · owns 25% to 50%
- B••••• W••••••• J••• · Ccosince 06/2023 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 6 to 4Mar 28, 2025 to Mar 31, 2026
- Assets in custody · $137M to $115MMar 28, 2025 to Mar 31, 2026
- Employees · 7 to 4Mar 28, 2025 to Mar 31, 2026
- Discretionary RAUM · $137M to $115MMar 28, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $137M to $115MMar 28, 2025 to Mar 31, 2026
- RAUM · $137M to $115MMar 28, 2025 to Mar 31, 2026
- Accounts · 5 to 4Mar 28, 2024 to Mar 28, 2025
- Advisory employees · 5 to 6Mar 28, 2024 to Mar 28, 2025
- Pooled vehicle clients · 5 to 4Mar 28, 2024 to Mar 28, 2025
- Assets in custody · $154M to $137MMar 28, 2024 to Mar 28, 2025
- Employees · 5 to 7Mar 28, 2024 to Mar 28, 2025
- Financial planning clients · unset to Mar 28, 2024 to Mar 28, 2025
- Private funds · 4 to 3Mar 28, 2024 to Mar 28, 2025
- Discretionary RAUM · $154M to $137MMar 28, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $154M to $137MMar 28, 2024 to Mar 28, 2025
- RAUM · $154M to $137MMar 28, 2024 to Mar 28, 2025
- Accounts · 6 to 5Dec 6, 2023 to Mar 28, 2024
- Advisory employees · 7 to 5Dec 6, 2023 to Mar 28, 2024
- Pooled vehicle clients · 6 to 5Dec 6, 2023 to Mar 28, 2024
- Assets in custody · $169M to $154MDec 6, 2023 to Mar 28, 2024
- Employees · 7 to 5Dec 6, 2023 to Mar 28, 2024
- Private funds · 13 to 4Dec 6, 2023 to Mar 28, 2024
- Discretionary RAUM · $169M to $154MDec 6, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $169M to $154MDec 6, 2023 to Mar 28, 2024
- RAUM · $169M to $154MDec 6, 2023 to Mar 28, 2024
- Private funds · 26 to 13Jun 30, 2023 to Aug 10, 2023
Signals
1 dated events
- R•••••••• P••••••••• L•• filed its initial SEC registration (Form ADV)Jun 30, 2023 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- R•••••••• P••••••••• L•• · Independent Sponsorsshared crd · capital_provider
- R•••••••• P••••••••• L•• · Private Equityshared crd · organization
- R•••••••• P••••••••• L•• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/companybroadway-strategic-return-fund/aboutreportedpublic record, Form ADV, Sep 18, 2026
- Website
- b•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 619-227-7706reportedpublic record, Form ADV, Mar 31, 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
- Asset manager (funds and pooled vehicles)deriveda 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