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

Broadside Wealth

No RAUM reportedSan Francisco, CaliforniaCRD 342220SEC 801-136400websiteIAPD
Legal name Broadside Wealth Technologies Inc.
Latest filing Sep 1, 2026
First filing on the tape Jun 4, 2026 · 3 filings
SEC status 120-day approval since Jun 1, 2026
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$0 as of Jul 13, 2026
Jun 4, 2026$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Jul 13, 2026
Jun 4, 20261 then
Employees (5.A)1 as of Jul 13, 2026
Jun 4, 20261 then
Private funds: no history
Practice profile
derived from the filing of Sep 1, 2026; every figure names its basis
RAUM per advisor
$0derivedRAUM 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
0.3derivedItem 5.A over advisors
Advisors per office
2.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
fixed fees, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
0reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
fixedreported
Class basis
private_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd= related_bank= bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
Alexander Cannon KnightSan Francisco, CaJun 2, 202613 y0
Daniel Clark BlakeyCertified Financial PlannerSan Francisco, CaAug 7, 202612 y1
Mason LiangChartered Financial AnalystSan Francisco, Ca Sep 3, 202611 y0
Daniel Shaoqiu FengTroy, Mi Sep 8, 202617 y0
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
    Joined, latest
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    No Schedule A on the extract for this adviser.
    Related persons
    Schedule D 7.A
    No related person reported.
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    San Francisco, Ca · principal440
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Financial planning clients · 0 to 0
      Jul 13, 2026 to Sep 1, 2026
    • Other offices · 0 to 1
      Jul 13, 2026 to Sep 1, 2026
    • Related adviser · false to unset
      Jul 13, 2026 to Sep 1, 2026
    • Related bank · false to unset
      Jul 13, 2026 to Sep 1, 2026
    • Related broker-dealer · false to unset
      Jul 13, 2026 to Sep 1, 2026
    • Related insurance company · false to unset
      Jul 13, 2026 to Sep 1, 2026
    • Succession · false to unset
      Jul 13, 2026 to Sep 1, 2026
    Signals
    No event on the tape.
    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
    Firm profile
    linkedin.com/company/broadsidewealthreportedpublic record, Form ADV, Sep 17, 2026
    Website
    broadsidewealth.comreportedpublic record, Form ADV, Sep 17, 2026
    Principal office phone
    628-218-5315reportedpublic record, Form ADV, Sep 1, 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
    No RAUM reportedderiveda 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