Broadview Financial Management provides financial planning, portfolio management for individuals and small businesses, selecting other managers, educational seminars, education planning, estate planning, insurance, philanthropic planning, retirement plan services, and tax planning. Financial planning was provided to 251–500 clients last fiscal year.
Broadview Financial Management reports 269 clients. They include 209 high-net-worth individuals and 60 individual clients. Of its assets, 100.0% ($699M across 1,284 accounts) are managed with discretion. It advised 102 clients without assets under management last fiscal year.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 22% | 5% |
| High-net-worth individuals | 78% | 95% |
| Charitable organizations | Fewer than 5 | <1% |
Client shares use reported counts. Client types without a reported count are excluded from that total.
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 60 | $36.1M | 5.2% | $602K |
| High-net-worth individuals | 209 | $661M | 94.5% | $3.16M |
| Charitable organizations | Fewer than 5 | $2.12M | 0.3% | — |
| Total | 269 | $699M | 100% | — |
- Clients
- 60
- Regulatory AUM
- $36.1M
- AUM share
- 5.2%
- Avg. per client
- $602K
- Clients
- 209
- Regulatory AUM
- $661M
- AUM share
- 94.5%
- Avg. per client
- $3.16M
- Clients
- Fewer than 5
- Regulatory AUM
- $2.12M
- AUM share
- 0.3%
- Avg. per client
- —
Total
- Clients
- 269
- Regulatory AUM
- $699M
- AUM share
- 100%
- Avg. per client
- —
- Clients outside the U.S.
- 0%
- Clients advised without assets under management last fiscal year
- 102
- Private funds advised
- 0
- Financial planning clients last fiscal year
- 251–500
Broadview Financial Management charges 0.30%–1.00% a year for its Investment Management Fees. Each asset band is charged at its own rate. The fee is billed in arrears, is negotiable and has a $5,000 annual minimum. The brochure also prices one other service, listed under fee details.
| Asset band | Annual rate |
|---|---|
| $0–$1M | 1.00% |
| $1M–$2.5M | 0.80% |
| $2.5M–$5M | 0.60% |
| $5M–$10M | 0.50% |
| $10M and above | 0.30% |
Fee details and sources
Other fees
- Financial Planning and Consulting
- Financial planning and consulting are billed hourly at $400 an hour, negotiable, in 1/10th hour segments, with no minimum fee.
Joseph Dailey owns 25% to 50% of Broadview Financial Management. It has 9 employees, 7 of them in advisory roles.
Leadership
- Angela PingelOwner, Manager, General Counsel & CCO
Joseph DaileyOwner, Manager & CIO
Matthew GoihlOwner, Manager & CEO- Adam DodgeOwner & Manager
- Amanda TaylorOwner & Manager
Investment adviser representatives
6 representatives listed in the SEC register as of 9 October 2026.
Staff
- 9 employees
- 7 in advisory functions
- 6 state-registered reps
- Owns 25% to 50% of Broadview Financial Management, LLC
Joseph Dailey
Control person · since January 2015
- Owns 25% to 50% of Broadview Financial Management, LLC
Matthew Goihl
Control person · since January 2015
- Owns 10% to 25% of Broadview Financial Management, LLC
Adam Dodge
Control person · since September 2016
- Owns 10% to 25% of Broadview Financial Management, LLC
Amanda Taylor
Control person · since January 2019
- Owns 5% to 10% of Broadview Financial Management, LLC
Angela Pingel
Control person · since March 2020
Broadview Financial Management’s regulatory assets grew from $469M (March 2021) to $699M (March 2026); clients rose from 239 to 269 and employees from 8 to 9.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | Employees | Offices |
|---|---|---|---|---|
| March 2026 | $699M | 269 | 9 | 1 |
| March 2025 | $623M | 261 | 9 | 1 |
| March 2024 | $549M | 257 | 9 | 1 |
| March 2023 | $465M | 252 | 9 | 1 |
| March 2022 | $536M | 246 | 9 | 1 |
| March 2021 | $469M | 239 | 8 | 1 |
Besides its headquarters, Broadview Financial Management has 0 offices, with 1 listed address in Wisconsin.
Wisconsin · 1 listed address
- 10401 W Innovation DR, Suite 100, WauwatosaHQ
Contact and registration details
- Legal name
- Broadview Financial Management, LLC
- Headquarters
- 10401 W Innovation DR, Suite 100, Wauwatosa, WI 53226
- Website
- broadviewfinancial.com
- Phone
- 414-390-1492
- SEC file
- 801-77625
- Structure
- Wisconsin LLC
- Fiscal year end
- December
Broadview Financial Management uses Fidelity ($610M, 88%) and Charles Schwab ($86.9M, 12%) as custodians for its separately managed accounts. Broadview Financial Management has custody of $535M in client assets for 178 clients.
- FidelityFidelity Brokerage Services LLC · Smithfield, RI · $610M88%
- Charles SchwabCharles Schwab & Co., Inc. · San Francisco, CA · $86.9M12%
At year end, Broadview Financial Management’s separately managed accounts were mostly in funds (93%). Its reported 13F holdings for the quarter ended 30 June 2026 total $164M across 43 positions; the largest are iShares Core MSCI Eafe (15.4%), iShares S&P 500 Index (10.5%) and iShares S&P 500 Growth ETF (7.2%).
What the accounts hold
- Stocks1%
- Funds93%
- Bonds3%
- U.S. government and agency bonds1%
- State and local bonds1%
- Investment grade corporate bonds1%
- Cash1%
- Other2%
- Variable annuity subaccounts2%
Reported 13F holdings
- $164M
- Reported 13F value
- 43
- Positions
- 71.1%
- In the 10 largest
- +11.8%
- Value vs. prior quarter
- iShares Core MSCI EafeETF15.4%
- iShares S&P 500 IndexETF10.5%
- iShares S&P 500 Growth ETFETF7.2%
- iShares S&P 500 Value ETFETF7.1%
- Vanguard Total Bond Market ETFETF7.0%
- iShares S&P Mid-cap 400 Growth ETFETF6.5%
- iShares Core MSCI Emerging MktsETF5.7%
- Vanguard FTSE Developed Markets ETFETF4.2%
- iShares S&P Midcap 400 Value ETFETF4.0%
- iShares Russell 1000 Value ETFETF3.4%
Together, the ten largest are 71.1% of reported value.
How many clients does Broadview Financial Management have?
Broadview Financial Management has 269 clients and manages $699 million for them, as of March 2026. They include 209 high-net-worth individuals and 60 individual clients.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 30 March 2026
What services does Broadview Financial Management offer?
Broadview Financial Management provides financial planning, portfolio management for individuals and small businesses, selecting other managers, educational seminars, education planning, estate planning, insurance, philanthropic planning, retirement plan services, and tax planning.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file; Part 2A brochure, Item 4
How much does Broadview Financial Management charge?
Broadview Financial Management charges 0.30%–1.00% a year for its Investment Management Fees. Each asset band is charged at its own rate. The fee is billed in arrears, is negotiable and has a $5,000 annual minimum.
Which custodians does Broadview Financial Management use?
Broadview Financial Management’s separately managed account assets are held at Fidelity Brokerage Services LLC (Smithfield, RI), with $610M and Charles Schwab & Co., Inc. (San Francisco, CA), with $86.9M. 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 March 2026
How many financial advisors does Broadview Financial Management have?
Broadview Financial Management has 6 investment adviser representatives registered with state securities authorities, out of 9 employees, and 7 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 Broadview Financial Management invest in?
At the end of its last fiscal year, Broadview Financial Management’s separately managed accounts held 93% registered funds (mutual funds, ETFs, BDCs), 2% other, 1% exchange-traded equities, 1% U.S. government and agency bonds, 1% state and local bonds, 1% investment grade corporate bonds and 1% cash and equivalents. The 2% other category is described as: Variable Annuity Subaccounts.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns Broadview Financial Management?
Broadview Financial Management’s direct owners are Joseph Dailey, Matthew Goihl, Adam Dodge, Amanda Taylor and Angela Pingel, each holding 50% or less.
Source: Form ADV Part 1A, Schedules A and B, filed 30 March 2026
How does Broadview Financial Management get paid?
Broadview Financial Management is paid through a percentage of assets under management and hourly charges. 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 Broadview Financial Management?
Broadview Financial Management’s main office is at 10401 W Innovation DR, Suite 100, Wauwatosa, WI 53226. Its phone number is 414-390-1492. Its website is broadviewfinancial.com.