DFX Intelligence
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SEC-registered adviser
B•••••••• M••••••••• L••
Latest filing Jul 31, 2026
First filing on the tape Feb 7, 2025 · 4 filings
SEC status approved since Mar 7, 2025
RAUM
$330M
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
31
11 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
4
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$330M as of Jul 31, 2026
Feb 7, 2025$335M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jul 31, 2026
Feb 7, 20250 then
Employees (5.A)31 as of Jul 31, 2026
Feb 7, 202528 then
Private funds4 as of Jul 31, 2026
Feb 7, 20252 then
RAUM -1.4% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jul 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
- $82.6MderivedRAUM 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
- -9.6%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
- $330M, 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$330M100%
- 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
- $330M 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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H•••••• J••••••• C••• · Chief Executive Officercontrolsince 07/2020 · owns less than 5%
- L••••••• J••••• M•••••• · Chairmancontrolsince 08/2015 · owns less than 5%
- O•••••••• T••••••• J••• · Svp, Finance And Compliance Officercontrolsince 01/2025 · owns less than 5%
Entity owners
- G•••••• I••••••••• L•• · Holding Entitydirect · owns 5% to 10%
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
- Accounts · 2 to 4Mar 31, 2026 to Jul 31, 2026
- Advisory employees · 13 to 11Mar 31, 2026 to Jul 31, 2026
- Pooled vehicle clients · 2 to 4Mar 31, 2026 to Jul 31, 2026
- Assets in custody · $303M to $330MMar 31, 2026 to Jul 31, 2026
- Employees · 30 to 31Mar 31, 2026 to Jul 31, 2026
- Private funds · 2 to 4Mar 31, 2026 to Jul 31, 2026
- Discretionary RAUM · $303M to $330MMar 31, 2026 to Jul 31, 2026
- Pooled vehicle RAUM · $303M to $330MMar 31, 2026 to Jul 31, 2026
- RAUM · $303M to $330MMar 31, 2026 to Jul 31, 2026
- Advisory employees · 12 to 13Dec 5, 2025 to Mar 31, 2026
- Assets in custody · $335M to $303MDec 5, 2025 to Mar 31, 2026
- Employees · 28 to 30Dec 5, 2025 to Mar 31, 2026
- Discretionary RAUM · $335M to $303MDec 5, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $335M to $303MDec 5, 2025 to Mar 31, 2026
- RAUM · $335M to $303MDec 5, 2025 to Mar 31, 2026
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
- B•••••••• M••••••••• L•• · Independent Sponsorsshared crd · capital_provider
- B•••••••• M••••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/broadview-group-holdings-llcreportedpublic record, Form ADV, Jul 31, 2026
- Website
- b•••••••••.comreportedpublic record, Form ADV, Jul 31, 2026
- Principal office phone
- 314-366-3240reportedpublic record, Form ADV, Jul 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