Broadview Wealth Management provides financial planning, portfolio management for individuals and small businesses, and portfolio management for institutions. Financial planning was provided to 51–100 clients last fiscal year.
Broadview Wealth Management reports 74 clients. They include 42 individual clients and 32 high-net-worth individuals. Of its assets, 0.0% ($0 across 0 accounts) are managed with discretion; $155M across 78 accounts are not. Of its clients, 1% are outside the U.S.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 57% | 15% |
| High-net-worth individuals | 43% | 73% |
| Corporations and other businesses | Fewer than 5 | 12% |
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) | 42 | $23.6M | 15.2% | $562K |
| High-net-worth individuals | 32 | $113M | 73.1% | $3.54M |
| Corporations and other businesses | Fewer than 5 | $18M | 11.6% | — |
| Total | 74 | $155M | 100% | — |
- Clients
- 42
- Regulatory AUM
- $23.6M
- AUM share
- 15.2%
- Avg. per client
- $562K
- Clients
- 32
- Regulatory AUM
- $113M
- AUM share
- 73.1%
- Avg. per client
- $3.54M
- Clients
- Fewer than 5
- Regulatory AUM
- $18M
- AUM share
- 11.6%
- Avg. per client
- —
Total
- Clients
- 74
- Regulatory AUM
- $155M
- AUM share
- 100%
- Avg. per client
- —
- Clients outside the U.S.
- 1%
- Clients advised without assets under management last fiscal year
- 0
- Private funds advised
- 0
- Financial planning clients last fiscal year
- 51–100
Broadview Wealth Management charges 0.25%–1.00% a year for its Separately Managed Accounts. Each asset band is charged at its own rate. The fee is billed in arrears, is negotiable and has a $1,500 annual minimum. The brochure also prices 2 other services, listed under fee details.
| Asset band | Annual rate |
|---|---|
| $0–$750K | 1.00% |
| $750K–$1.5M | 0.75% |
| $1.5M–$5M | 0.50% |
| $5M–$10M | 0.35% |
| $10M and above | 0.25% |
Fee details and sources
Other fees
- 401(k) Advisory Fees
- Retirement plan advisory fees are 0.50% on assets to $1,000,000, 0.35% to $2,000,000 and 0.25% above, with a $2,500 a year minimum.
- Financial Planning
- Stand-alone financial plans are a fixed $1,500 fee, billed in arrears on completion.
Thomas Bailey owns 75% or more of Broadview Wealth Management. The leadership team of Broadview Wealth Management includes President Thomas Bailey. It has 1 employee.
Leadership
Thomas BaileyPresident and Chief Compliance Officer
Investment adviser representatives
1 representatives listed in the SEC register as of 9 October 2026.
Staff
- 1 employee
- 1 in advisory functions
- 1 state-registered rep
- Owns 75% or more of Broadview Wealth Management, LLC
Thomas Bailey
Control person · since March 2015
Broadview Wealth Management’s regulatory assets grew from $122M (March 2025) to $155M (April 2026); clients rose from 70 to 74 and employees were 1 in both filings.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | Employees | Offices |
|---|---|---|---|---|
| April 2026 | $155M | 74 | 1 | 1 |
| March 2025 | $122M | 70 | 1 | 1 |
Besides its headquarters, Broadview Wealth Management has 0 offices, with 1 listed address with no US state reported.
Contact and registration details
- Legal name
- Broadview Wealth Management, LLC
- Headquarters
- Not reported
- Website
- broadviewwealth.com
- Phone
- 425-326-1120
- SEC file
- 801-131458
- Structure
- Washington LLC
- Fiscal year end
- December
Broadview Wealth Management uses Charles Schwab ($99.2M, 73%) and Fidelity ($36.8M, 27%) as custodians for its separately managed accounts. Broadview Wealth Management has custody of $38.1M in client assets for 50 clients.
- Charles SchwabCharles Schwab & Co., Inc. · Westlake, TX · $99.2M73%
- FidelityFidelity Brokerage Services LLC · Smithfield, RI · $36.8M27%
At year end, Broadview Wealth Management’s separately managed accounts were mostly in funds (99%).
What the accounts hold
- Funds99%
- Bonds1%
How many clients does Broadview Wealth Management have?
Broadview Wealth Management has 74 clients and manages $155 million for them, as of April 2026. They include 42 individual clients and 32 high-net-worth individuals.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 3 April 2026
What services does Broadview Wealth Management offer?
Broadview Wealth Management provides financial planning, portfolio management for individuals and small businesses, and portfolio management for institutions.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file
How much does Broadview Wealth Management charge?
Broadview Wealth Management charges 0.25%–1.00% a year for its Separately Managed Accounts. Each asset band is charged at its own rate. The fee is billed in arrears, is negotiable and has a $1,500 annual minimum.
Source: BROADVIEW WEALTH MANAGEMENT, LLC ADV PART 2A 03.09.2026, filed 9 March 2026
Which custodians does Broadview Wealth Management use?
Broadview Wealth Management’s separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $99.2M and Fidelity Brokerage Services LLC (Smithfield, RI), with $36.8M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 3 April 2026
How many financial advisors does Broadview Wealth Management have?
Broadview Wealth Management has 1 investment adviser representative registered with state securities authorities, out of 1 employees, and 1 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 Wealth Management invest in?
At the end of its last fiscal year, Broadview Wealth Management’s separately managed accounts held 99% registered funds (mutual funds, ETFs, BDCs) and 1% investment grade corporate bonds.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns Broadview Wealth Management?
Broadview Wealth Management’s direct owner is Thomas Bailey (75% or more).
Source: Form ADV Part 1A, Schedules A and B, filed 3 April 2026
How does Broadview Wealth Management get paid?
Broadview Wealth Management is paid through a percentage of assets under management and fixed fees. 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 Wealth Management?
Its phone number is 425-326-1120. Its website is broadviewwealth.com.