{"url":"https://nivawealth.com/firms/broadview-wealth-partners-335028","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/335028","regulatoryAum":304671215,"crd":"335028","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"3161514","suffix":null,"lastName":"DAWSON","firstName":"JAMES","middleName":"MCDONALD"},{"crd":"2215003","suffix":null,"lastName":"Fellows","firstName":"David","middleName":"George"},{"crd":"4537652","suffix":null,"lastName":"JONES","firstName":"DAWN","middleName":"M."},{"crd":"2830866","suffix":null,"lastName":"SLADKY","firstName":"JAMIE","middleName":"LYN"}],"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":"801-134094","legalName":"Broadview Wealth Partners, LLC","displayName":"Broadview Wealth Partners","slug":"broadview-wealth-partners-335028","website":"https://broadviewwp.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":"2025","organization":"Colorado limited liability company","fiscalYearEnd":"December","headquarters":{"street":"1212 Pearl Street, Suite 200","city":"Boulder","state":"CO","stateName":"Colorado","country":"United States","postalCode":"80302"},"tradeNames":[],"registration":{"secApproved":"1 August 2025","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":982810.3709677419,"staff":{"employees":7,"advisory":7,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":304671215,"discretionary":304671215,"discretionaryAccounts":949,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":216,"regulatoryAum":86339442},{"label":"High-net-worth individuals","clients":94,"regulatoryAum":218331773}],"feePrograms":[{"role":"main","program":"Comprehensive Portfolio Management","feeBasis":"ceiling","fee_tiers":null,"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1025719","versionId":1025719,"ratePeriod":"annual","fee_billing":"advance","submittedOn":"2026-03-25","documentName":"FORM ADV PART 2A - FIRM BROCHURE","fee_rate_low":null,"fee_rate_high":1.5,"fee_negotiable":true,"minimum_account":null,"feeMinimumPeriod":null,"fee_minimum_annual":null}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T11:29:37.379235+00:00","documents":[{"name":"FORM ADV PART 2A - FIRM BROCHURE","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1025719","versionId":1025719,"submittedOn":"2026-03-25"}]},"custodians":[{"name":"Raymond James & Associates, Inc.","shortName":"Raymond James","location":"St. Petersburg, FL","smaAssets":304671165}],"custodyNote":"Broadview Wealth Partners has custody of $6M in client assets for 11 clients.","otherCustodians":[],"leadership":[{"name":"Jamie Sladky","title":"Chief Executive Officer","crd":"2830866"},{"name":"James Dawson","title":"Chief Operating Officer","crd":"3161514"},{"name":"Dawn Jones","title":"Chief Compliance Officer","crd":"4537652"}],"ownership":[{"label":"Integrated Capital Management, LLC","detail":"Holding company in the 50% to 75% ownership band and a control person, since July 2025."},{"label":"Innamorato Strategies, LLC","detail":"Holding company in the 50% to 75% ownership band and a control person, since July 2025."},{"label":"James Dawson","detail":"Indirect owner: a owner of holding company of Integrated Capital Management, LLC in the 75% or more band and a control person, since July 2025.","parent":"Integrated Capital Management, LLC"},{"label":"Jamie Sladky","detail":"Indirect owner: a owner of holding company of Innamorato Strategies, LLC in the 75% or more band and a control person, since July 2025.","parent":"Innamorato Strategies, LLC"}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":3,"privateResidences":3},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Colorado","offices":1,"addresses":[{"street":"1212 Pearl Street, Suite 200","city":"Boulder","headquarters":true}]}],"brochureServices":["financial planning"],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"303-323-4293","stateRegisteredReps":4,"otherAdviserReps":0,"compensation":["A percentage of assets under management"],"activities":["Portfolio management for individuals and/or small businesses","Selection of other advisers (including private fund managers)"],"financialPlanningClients":null,"assetMix":[{"label":"Non-exchange-traded equity securities","percent":1},{"label":"U.S. government/agency bonds","percent":1},{"label":"U.S. state and local bonds","percent":1},{"label":"Investment grade corporate bonds","percent":1},{"label":"Securities issued by registered investment companies or business development companies","percent":93},{"label":"Cash and cash equivalents","percent":3}],"privateFunds":0},"sources":{"adv1FilingDate":"30 September 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/335028/PDF/335028.pdf","brochureDate":"25 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1025719","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 Partners have?","answer":"Broadview Wealth Partners has 310 clients and manages $305 million for them, as of September 2026. They include 216 individual clients and 94 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 Broadview Wealth Partners offer?","answer":"Broadview Wealth Partners provides portfolio management for individuals and small businesses, selecting other managers, and financial 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 Wealth Partners charge?","answer":"Broadview Wealth Partners charges up to 1.50% a year for its Comprehensive Portfolio Management. The fee is billed in advance and is negotiable.","source":"FORM ADV PART 2A - FIRM BROCHURE, filed 25 March 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Broadview Wealth Partners use?","answer":"Broadview Wealth Partners’ separately managed account assets are held at Raymond James & Associates, Inc. (St. Petersburg, FL), with $305M. 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 Broadview Wealth Partners have?","answer":"Broadview Wealth Partners has 4 investment adviser representatives registered with state securities authorities, out of 7 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 Wealth Partners invest in?","answer":"At the end of its last fiscal year, Broadview Wealth Partners’ separately managed accounts held 93% registered funds (mutual funds, ETFs, BDCs), 3% cash and equivalents, 1% non-exchange-traded equities, 1% U.S. government and agency bonds, 1% state and local bonds 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 Partners?","answer":"Broadview Wealth Partners is owned through holding companies by James Dawson and Jamie Sladky. Its direct owners are Integrated Capital Management, LLC (50% to 75%) and Innamorato Strategies, LLC (50% to 75%).","source":"Form ADV Part 1A, Schedules A and B, filed 30 September 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Broadview Wealth Partners get paid?","answer":"Broadview Wealth Partners is paid through a percentage of assets under management. 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 Partners?","answer":"Broadview Wealth Partners’ main office is at 1212 Pearl Street, Suite 200, Boulder, CO 80302. Its phone number is 303-323-4293. Its website is broadviewwp.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."}