{"url":"https://nivawealth.com/firms/broadview-wealth-management-174429","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/174429","regulatoryAum":154879792,"crd":"174429","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"6435763","suffix":null,"lastName":"BAILEY","firstName":"THOMAS","middleName":"AUSLAND"}],"total":1,"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":"2025-03-31","regulatoryAum":122471195,"clients":70,"employees":1,"offices":1},{"filedOn":"2026-04-03","regulatoryAum":154879792,"clients":74,"employees":1,"offices":1}],"secFileNumber":"801-131458","legalName":"Broadview Wealth Management, LLC","displayName":"Broadview Wealth Management","slug":"broadview-wealth-management-174429","website":"https://broadviewwealth.com/","logo":{"src":"https://rmkhnxnbeclogprvkfyl.supabase.co/storage/v1/object/public/firm-logos/174429/c01f49014b0156d8-r1.webp","tone":"light","width":389,"height":200,"sourceUrl":"https://www.broadviewwealth.com/","sourceLabel":"Broadview Wealth Management, LLC, website"},"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"Washington limited liability company","fiscalYearEnd":"December","headquarters":{"street":"","city":"","state":"","stateName":"","country":"","postalCode":null},"tradeNames":[],"registration":{"secApproved":"13 November 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Accounts","feeBasis":"marginal","fee_tiers":[{"to":750000,"pct":1,"from":0},{"to":1500000,"pct":0.75,"from":750000},{"to":5000000,"pct":0.5,"from":1500000},{"to":10000000,"pct":0.35,"from":5000000},{"to":null,"pct":0.25,"from":10000000}],"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1016194","versionId":1016194,"ratePeriod":"annual","fee_billing":"arrears","submittedOn":"2026-03-09","documentName":"BROADVIEW WEALTH MANAGEMENT, LLC ADV PART 2A 03.09.2026","fee_rate_low":0.25,"fee_rate_high":1,"fee_negotiable":true,"minimum_account":null,"feeMinimumPeriod":"annual","fee_minimum_annual":1500},{"role":"other","program":"401(k) Advisory Fees","summary":"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.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1016194","versionId":1016194,"submittedOn":"2026-03-09","documentName":"BROADVIEW WEALTH MANAGEMENT, LLC ADV PART 2A 03.09.2026"},{"role":"other","program":"Financial Planning","summary":"Stand-alone financial plans are a fixed $1,500 fee, billed in arrears on completion.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1016194","versionId":1016194,"submittedOn":"2026-03-09","documentName":"BROADVIEW WEALTH MANAGEMENT, LLC ADV PART 2A 03.09.2026"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T15:06:22.315444+00:00","documents":[{"name":"BROADVIEW WEALTH MANAGEMENT, LLC ADV PART 2A 03.09.2026","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1016194","versionId":1016194,"submittedOn":"2026-03-09"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"Westlake, TX","smaAssets":99190000},{"name":"Fidelity Brokerage Services LLC","shortName":"Fidelity","location":"Smithfield, RI","smaAssets":36800000}],"custodyNote":"Broadview Wealth Management has custody of $38.1M in client assets for 50 clients.","otherCustodians":[],"leadership":[{"name":"Thomas Bailey","title":"President and Chief Compliance Officer","crd":"6435763"}],"ownership":[{"label":"Thomas Bailey","detail":"President and chief compliance officer in the 75% or more ownership band and a control person, since March 2015."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"425-326-1120","stateRegisteredReps":1,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Fixed fees (other than subscription fees)"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Portfolio management for businesses (other than small businesses) or institutional clients"],"financialPlanningClients":"51-100","assetMix":[{"label":"Investment grade corporate bonds","percent":1},{"label":"Securities issued by registered investment companies or business development companies","percent":99}],"privateFunds":0},"sources":{"adv1FilingDate":"3 April 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/174429/PDF/174429.pdf","brochureDate":"9 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1016194","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 Broadview Wealth Management have?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Broadview Wealth Management offer?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does Broadview Wealth Management charge?","answer":"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","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Broadview Wealth Management use?","answer":"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","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Broadview Wealth Management have?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Broadview Wealth Management invest in?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Broadview Wealth Management?","answer":"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","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Broadview Wealth Management get paid?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Broadview Wealth Management?","answer":"Its phone number is 425-326-1120. Its website is broadviewwealth.com.","source":"Form ADV Part 1A, Item 1.F, filed 3 April 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."}