{"url":"https://nivawealth.com/firms/broadside-wealth-technologies-342220","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/342220","regulatoryAum":874516229,"crd":"342220","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"6296409","suffix":null,"lastName":"BLAKEY","firstName":"DANIEL","middleName":"CLARK"},{"crd":"8337537","suffix":null,"lastName":"Feng","firstName":"Daniel","middleName":"Shaoqiu"},{"crd":"8286863","suffix":null,"lastName":"Knight","firstName":"Alexander","middleName":"Cannon"},{"crd":"8337546","suffix":null,"lastName":"Liang","firstName":"Mason","middleName":null}],"total":4,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"secFileNumber":"801-136400","legalName":"Broadside Wealth Technologies Inc.","displayName":"Broadside Wealth Technologies","slug":"broadside-wealth-technologies-342220","website":"https://broadsidewealth.com/","logo":{"src":"https://rmkhnxnbeclogprvkfyl.supabase.co/storage/v1/object/public/firm-logos/342220/9a5e9c4cd356e77d-r1.webp","tone":"dark","width":286,"height":200,"sourceUrl":"https://www.broadsidewealth.com","sourceLabel":"Broadside Wealth, website"},"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"linkedinUrl":"https://www.linkedin.com/company/broadsidewealth","founded":null,"organization":"Delaware corporation","fiscalYearEnd":"December","headquarters":{"street":"333 Bush Street, Suite 400","city":"San Francisco","state":"CA","stateName":"California","country":"United States","postalCode":"94104"},"tradeNames":[],"registration":{"secApproved":"1 June 2026","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":null,"staff":{"employees":5,"advisory":4,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":874516229,"discretionary":91636705,"discretionaryAccounts":22,"nonDiscretionary":782879524,"nonDiscretionaryAccounts":2,"wrapProgram":null,"nonUsClientsPct":10,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":0,"fewerThan5":true,"regulatoryAum":0},{"label":"High-net-worth individuals","clients":20,"regulatoryAum":874516229},{"label":"Banking or thrift institutions","clients":0,"fewerThan5":true,"regulatoryAum":0},{"label":"Pension and profit-sharing plans","clients":0,"fewerThan5":true,"regulatoryAum":0},{"label":"Charitable organizations","clients":0,"fewerThan5":true,"regulatoryAum":0},{"label":"State or municipal government entities","clients":0,"fewerThan5":true,"regulatoryAum":0},{"label":"Other investment advisers","clients":0,"fewerThan5":true,"regulatoryAum":0},{"label":"Insurance companies","clients":0,"fewerThan5":true,"regulatoryAum":0},{"label":"Sovereign wealth funds and foreign official institutions","clients":0,"fewerThan5":true,"regulatoryAum":0},{"label":"Corporations and other businesses","clients":0,"fewerThan5":true,"regulatoryAum":0}],"feePrograms":[],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed_no_numerical_schedule","checkedAt":"2026-10-22T08:01:21.103578+00:00","documents":[{"name":"BROADSIDE WEALTH ADV PART 2A BROCHURE - APRIL 2026","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1059670","versionId":1059670,"submittedOn":"2026-09-30"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"Westlake, TX","smaAssets":90877060},{"name":"Interactive Brokers","shortName":"Interactive Brokers","location":"Kwun Tong","smaAssets":782549850}],"custodyNote":"Broadside Wealth Technologies has custody of $25M in client assets for 3 clients.","otherCustodians":[],"leadership":[{"name":"Alexander Knight","title":"CEO/CCO","crd":"8221170"},{"name":"Mason Liang","title":"Direct Owner","crd":"8337546"}],"ownership":[{"label":"Alexander Knight","detail":"Ceo/cco in the 25% to 50% ownership band and a control person, since April 2026."},{"label":"Mason Liang","detail":"Direct owner in the 25% to 50% ownership band and a control person, since September 2026."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":1,"privateResidences":0},"listedOfficeAddresses":2,"foreignOffices":[],"officesByState":[{"state":"California","offices":1,"addresses":[{"street":"333 Bush Street, Suite 400","city":"San Francisco","headquarters":true}]},{"state":"New York","offices":1,"addresses":[{"street":"1140 6th Ave","city":"New York"}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"628-218-5315","stateRegisteredReps":4,"otherAdviserReps":0,"compensation":["Fixed fees (other than subscription fees)","Other"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Selection of other advisers (including private fund managers)"],"financialPlanningClients":"11-25","assetMix":[{"label":"Exchange-traded equity securities","percent":92},{"label":"Securities issued by registered investment companies or business development companies","percent":7},{"label":"Securities issued by pooled investment vehicles (other than registered investment companies)","percent":1}],"privateFunds":0},"sources":{"adv1FilingDate":"30 September 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/342220/PDF/342220.pdf","brochureDate":"30 September 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1059670","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Broadside Wealth Technologies have?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Broadside Wealth Technologies offer?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does Broadside Wealth Technologies use?","answer":"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","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Broadside Wealth Technologies have?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Broadside Wealth Technologies invest in?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Broadside Wealth Technologies?","answer":"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","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Broadside Wealth Technologies get paid?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Broadside Wealth Technologies?","answer":"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.","source":"Form ADV Part 1A, Item 1.F, filed 30 September 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}