Broadside Wealth Technologies provides financial planning, portfolio management for individuals and small businesses, and selecting other managers. Financial planning was provided to 11–25 clients last fiscal year.
Broadside Wealth Technologies reports 20 clients. They include 20 high-net-worth individuals. Of its assets, 10.5% ($91.6M across 22 accounts) are managed with discretion; $783M across 2 accounts are not. Of its clients, 10% are outside the U.S.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 0% | 0% |
| High-net-worth individuals | 100% | 100% |
| Banking or thrift institutions | 0% | 0% |
| Pension and profit-sharing plans | 0% | 0% |
| Charitable organizations | 0% | 0% |
| Other client typesState or municipal government entities; Other investment advisers; Insurance companies; Sovereign wealth funds and foreign official institutions; Corporations and other businesses | 0% | 0% |
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | Fewer than 5 | $0 | 0.0% | — |
| High-net-worth individuals | 20 | $875M | 100.0% | $43.7M |
| Banking or thrift institutions | Fewer than 5 | $0 | 0.0% | — |
| Pension and profit-sharing plans | Fewer than 5 | $0 | 0.0% | — |
| Charitable organizations | Fewer than 5 | $0 | 0.0% | — |
| State or municipal government entities | Fewer than 5 | $0 | 0.0% | — |
| Other investment advisers | Fewer than 5 | $0 | 0.0% | — |
| Insurance companies | Fewer than 5 | $0 | 0.0% | — |
| Sovereign wealth funds and foreign official institutions | Fewer than 5 | $0 | 0.0% | — |
| Corporations and other businesses | Fewer than 5 | $0 | 0.0% | — |
| Total | 20 | $875M | 100% | — |
- Clients
- Fewer than 5
- Regulatory AUM
- $0
- AUM share
- 0.0%
- Avg. per client
- —
- Clients
- 20
- Regulatory AUM
- $875M
- AUM share
- 100.0%
- Avg. per client
- $43.7M
- Clients
- Fewer than 5
- Regulatory AUM
- $0
- AUM share
- 0.0%
- Avg. per client
- —
- Clients
- Fewer than 5
- Regulatory AUM
- $0
- AUM share
- 0.0%
- Avg. per client
- —
- Clients
- Fewer than 5
- Regulatory AUM
- $0
- AUM share
- 0.0%
- Avg. per client
- —
- Clients
- Fewer than 5
- Regulatory AUM
- $0
- AUM share
- 0.0%
- Avg. per client
- —
- Clients
- Fewer than 5
- Regulatory AUM
- $0
- AUM share
- 0.0%
- Avg. per client
- —
- Clients
- Fewer than 5
- Regulatory AUM
- $0
- AUM share
- 0.0%
- Avg. per client
- —
- Clients
- Fewer than 5
- Regulatory AUM
- $0
- AUM share
- 0.0%
- Avg. per client
- —
- Clients
- Fewer than 5
- Regulatory AUM
- $0
- AUM share
- 0.0%
- Avg. per client
- —
Total
- Clients
- 20
- Regulatory AUM
- $875M
- AUM share
- 100%
- Avg. per client
- —
- Clients outside the U.S.
- 10%
- Clients advised without assets under management last fiscal year
- 0
- Private funds advised
- 0
- Financial planning clients last fiscal year
- 11–25
Broadside Wealth Technologies is paid through fixed fees (other than subscription fees) and other compensation. The reviewed brochures do not disclose an asset-based fee rate. Read the SEC-filed brochure.
Alexander Knight owns 25% to 50% of Broadside Wealth Technologies. It has 5 employees, 4 of them in advisory roles.
Leadership
- Alexander KnightCEO/CCO
- Mason LiangDirect Owner
Investment adviser representatives
4 representatives listed in the SEC register as of 9 October 2026.
Staff
- 5 employees
- 4 in advisory functions
- 4 state-registered reps
- Owns 25% to 50% of Broadside Wealth Technologies Inc.
Alexander Knight
Control person · since April 2026
- Owns 25% to 50% of Broadside Wealth Technologies Inc.
Mason Liang
Control person · since September 2026
Besides its headquarters, Broadside Wealth Technologies has 1 office, with 2 listed addresses in California and New York.
California · 1 listed address
- 333 Bush Street, Suite 400, San FranciscoHQ
New York · 1 listed address
- 1140 6th Ave, New York
Contact and registration details
- Legal name
- Broadside Wealth Technologies Inc.
- Headquarters
- 333 Bush Street, Suite 400, San Francisco, CA 94104
- Website
- broadsidewealth.com
- Phone
- 628-218-5315
- @broadsidewealth
- SEC file
- 801-136400
- Structure
- Delaware corporation
- Fiscal year end
- December
Broadside Wealth Technologies uses Interactive Brokers ($783M, 90%) and Charles Schwab ($90.9M, 10%) as custodians for its separately managed accounts. Broadside Wealth Technologies has custody of $25M in client assets for 3 clients.
- Charles SchwabCharles Schwab & Co., Inc. · Westlake, TX · $90.9M10%
- Interactive BrokersInteractive Brokers · Kwun Tong · $783M90%
At year end, Broadside Wealth Technologies’ separately managed accounts were mostly in stocks (92%).
What the accounts hold
- Stocks92%
- Funds8%
- Registered funds7%
- Pooled vehicles1%
How many clients does Broadside Wealth Technologies have?
Broadside Wealth Technologies has 20 clients and manages $875 million for them, as of September 2026. They include 20 high-net-worth individuals.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 30 September 2026
What services does Broadside Wealth Technologies offer?
Broadside Wealth Technologies provides financial planning, portfolio management for individuals and small businesses, and selecting other managers.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file
Which custodians does Broadside Wealth Technologies use?
Broadside Wealth Technologies’ separately managed account assets are held at Interactive Brokers (Kwun Tong), with $783M and Charles Schwab & Co., Inc. (Westlake, TX), with $90.9M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 30 September 2026
How many financial advisors does Broadside Wealth Technologies have?
Broadside Wealth Technologies has 4 investment adviser representatives registered with state securities authorities, out of 5 employees, and 4 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.
Source: Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file
What does Broadside Wealth Technologies invest in?
At the end of its last fiscal year, Broadside Wealth Technologies’ separately managed accounts held 92% exchange-traded equities, 7% registered funds (mutual funds, ETFs, BDCs) and 1% pooled vehicles (private funds and similar).
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns Broadside Wealth Technologies?
Broadside Wealth Technologies’ direct owners are Alexander Knight and Mason Liang, each holding 50% or less.
Source: Form ADV Part 1A, Schedules A and B, filed 30 September 2026
How does Broadside Wealth Technologies get paid?
Broadside Wealth Technologies is paid through fixed fees and other compensation. Its Form ADV lists no commissions or performance-based fees among how it is paid.
Source: Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file
How do I contact Broadside Wealth Technologies?
Broadside Wealth Technologies’ main office is at 333 Bush Street, Suite 400, San Francisco, CA 94104. Its phone number is 628-218-5315. Its website is broadsidewealth.com.