{"url":"https://nivawealth.com/firms/broadwing-capital-advisors-127513","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/127513","regulatoryAum":148008273,"crd":"127513","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"1428717","suffix":null,"lastName":"KANE","firstName":"KELLY","middleName":"DOUGLAS"},{"crd":"8210023","suffix":null,"lastName":"SELMI","firstName":"MORGAN","middleName":null}],"total":2,"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":"2024-02-21","regulatoryAum":119728834,"clients":82,"employees":1,"offices":1},{"filedOn":"2025-06-09","regulatoryAum":126423472,"clients":74,"employees":2,"offices":1},{"filedOn":"2026-02-03","regulatoryAum":148008273,"clients":63,"employees":2,"offices":1}],"secFileNumber":"801-129735","legalName":"Broadwing Capital Advisors, Inc.","displayName":"Broadwing Capital Advisors","slug":"broadwing-capital-advisors-127513","website":"https://broadwingcapital.com/","logo":{"src":"https://rmkhnxnbeclogprvkfyl.supabase.co/storage/v1/object/public/firm-logos/127513/d02738e712862137-r1.webp","tone":"light","width":675,"height":200,"sourceUrl":"https://broadwingcapital.com/","sourceLabel":"Broadwing Capital Advisors, Inc., website"},"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"California corporation","fiscalYearEnd":"December","headquarters":{"street":"101 Larkspur Landing Circle, Suite 221","city":"Larkspur","state":"CA","stateName":"California","country":"United States","postalCode":"94939"},"tradeNames":[],"registration":{"secApproved":"22 March 2024","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":2015588.888888889,"staff":{"employees":2,"advisory":2,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":148008273,"discretionary":126893954,"discretionaryAccounts":62,"nonDiscretionary":21114319,"nonDiscretionaryAccounts":4,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":15,"regulatoryAum":3970778},{"label":"High-net-worth individuals","clients":48,"regulatoryAum":123011322},{"label":"Pension and profit-sharing plans","clients":null,"fewerThan5":true,"regulatoryAum":21026173}],"feePrograms":[{"role":"main","program":"Personal Accounts","feeBasis":"range","fee_tiers":null,"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1006078","versionId":1006078,"ratePeriod":"annual","fee_billing":"advance","submittedOn":"2026-02-03","documentName":"FORM ADV PART 2A AND 2B","fee_rate_low":0.25,"fee_rate_high":1,"fee_negotiable":true,"minimum_account":250000,"feeMinimumPeriod":null,"fee_minimum_annual":null},{"role":"other","program":"Comprehensive Financial Plan","summary":"A fixed fee of $5,000 for a comprehensive plan, or $2,500 for a plan limited to education, retirement, estate, risk or tax planning; a retainer of 50% of the fixed fee may be required.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1006078","versionId":1006078,"submittedOn":"2026-02-03","documentName":"FORM ADV PART 2A AND 2B"},{"role":"other","program":"Employer-Sponsored Accounts","summary":"Plan fee of 0.10% to 0.50% of assets under management, or a fixed fee generally from $1,000 to $20,000 a year.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1006078","versionId":1006078,"submittedOn":"2026-02-03","documentName":"FORM ADV PART 2A AND 2B"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T12:56:21.742966+00:00","documents":[{"name":"FORM ADV PART 2A AND 2B","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1006078","versionId":1006078,"submittedOn":"2026-02-03"}]},"custodians":[{"name":"Charles Schwab Co.","shortName":"Charles Schwab","location":"Westlake, TX","smaAssets":124618286}],"custodyNote":"Broadwing Capital Advisors has custody of $30.7M in client assets for 59 clients.","leadership":[{"name":"Kelly Kane","title":"President/Chief Compliance Officer","crd":"1428717"}],"ownership":[{"label":"Kelly Kane","detail":"President/chief compliance officer in the 75% or more ownership band and a control person, since March 2009."}],"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"California","offices":1,"addresses":[{"street":"101 Larkspur Landing Circle, Suite 221","city":"Larkspur","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"415-381-7555","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","Selection of other advisers (including private fund managers)"],"financialPlanningClients":"0","assetMix":[{"label":"Exchange-traded equity securities","percent":51},{"label":"U.S. government/agency bonds","percent":1},{"label":"Securities issued by registered investment companies or business development companies","percent":42},{"label":"Cash and cash equivalents","percent":6}],"privateFunds":0},"sources":{"adv1FilingDate":"3 February 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/127513/PDF/127513.pdf","brochureDate":"3 February 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1006078","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 Broadwing Capital Advisors have?","answer":"Broadwing Capital Advisors has 63 clients and manages $148 million for them, as of February 2026. They include 48 high-net-worth individuals and 15 individual clients.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 3 February 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Broadwing Capital Advisors offer?","answer":"Broadwing Capital Advisors provides financial planning, portfolio management for individuals and small businesses, and selecting other managers.","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 Broadwing Capital Advisors charge?","answer":"Broadwing Capital Advisors charges 0.25%–1.00% a year for its Personal Accounts. The fee is billed in advance, is negotiable and requires an account of at least $250,000.","source":"FORM ADV PART 2A AND 2B, filed 3 February 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Broadwing Capital Advisors use?","answer":"Broadwing Capital Advisors’ separately managed account assets are held at Charles Schwab Co. (Westlake, TX), with $125M. 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 February 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Broadwing Capital Advisors have?","answer":"Broadwing Capital Advisors has 1 investment adviser representative registered with state securities authorities, out of 2 employees, and 2 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 Broadwing Capital Advisors invest in?","answer":"At the end of its last fiscal year, Broadwing Capital Advisors’ separately managed accounts held 51% exchange-traded equities, 42% registered funds (mutual funds, ETFs, BDCs), 6% cash and equivalents and 1% U.S. government and agency 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":"Does Broadwing Capital Advisors have a minimum investment?","answer":"Yes, Broadwing Capital Advisors’ minimum account size for its Personal Accounts is $250K.","source":"FORM ADV PART 2A AND 2B, filed 3 February 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Who owns Broadwing Capital Advisors?","answer":"Broadwing Capital Advisors’ direct owner is Kelly Kane (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 3 February 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Broadwing Capital Advisors get paid?","answer":"Broadwing Capital Advisors 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":"Is Broadwing Capital Advisors registered with the SEC?","answer":"Yes, Broadwing Capital Advisors has been registered with the SEC as an investment adviser since 22 March 2024. Its CRD number is 127513 and its SEC file number is 801-129735.","source":"Form ADV Part 1A, Item 1, filed 3 February 2026; IAPD firm record","sourceRef":{"doc":"adv1","section":"identity"}},{"question":"How do I contact Broadwing Capital Advisors?","answer":"Broadwing Capital Advisors’ main office is at 101 Larkspur Landing Circle, Suite 221, Larkspur, CA 94939. Its phone number is 415-381-7555. Its website is broadwingcapital.com.","source":"Form ADV Part 1A, Item 1.F, filed 3 February 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."}