{"url":"https://nivawealth.com/firms/broadview-financial-management-143550","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/143550","regulatoryAum":699241680,"crd":"143550","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"2646145","suffix":null,"lastName":"DAILEY","firstName":"JOSEPH","middleName":"BANFAY"},{"crd":"5581033","suffix":null,"lastName":"DODGE","firstName":"ADAM","middleName":"WILLIAM"},{"crd":"6095269","suffix":null,"lastName":"DREGNE","firstName":"LISA","middleName":"EILEEN"},{"crd":"5547291","suffix":null,"lastName":"GOIHL","firstName":"MATTHEW","middleName":"PAUL"},{"crd":"3245959","suffix":null,"lastName":"TAYLOR","firstName":"AMANDA","middleName":"HUNN"},{"crd":"7329289","suffix":null,"lastName":"TURCOTTE","firstName":"NATHAN","middleName":null}],"total":6,"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"},"history":[{"filedOn":"2021-03-31","regulatoryAum":468909040,"clients":239,"employees":8,"offices":1},{"filedOn":"2022-03-31","regulatoryAum":535530651,"clients":246,"employees":9,"offices":1},{"filedOn":"2023-03-30","regulatoryAum":465309589,"clients":252,"employees":9,"offices":1},{"filedOn":"2024-03-27","regulatoryAum":548972855,"clients":257,"employees":9,"offices":1},{"filedOn":"2025-03-26","regulatoryAum":623294951,"clients":261,"employees":9,"offices":1},{"filedOn":"2026-03-30","regulatoryAum":699241680,"clients":269,"employees":9,"offices":1}],"secFileNumber":"801-77625","legalName":"Broadview 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$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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Broadview Financial Management offer?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does Broadview Financial Management charge?","answer":"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.","source":"BROADVIEW ADV PART 2A, filed 30 March 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Broadview Financial Management use?","answer":"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","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Broadview Financial Management have?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Broadview Financial Management invest in?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Broadview Financial Management?","answer":"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","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Broadview Financial Management get paid?","answer":"Broadview Financial Management is paid through a percentage of assets under management and hourly charges. 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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."}