BROADVIEW FINANCIAL MANAGEMENT, LLC

RIASEC RegisteredEst. 2013
Total AUM
$699M
Discretionary
$699M
100% of AUM
Avg account
$545K
Accounts
1,284
Employees
9
Advisory reps
7

Firm details

Headquarters
WAUWATOSA, Wisconsin
CRD number
143550
Registered since
February 13, 2013
Website
www.broadviewfinancial.com
Custodians
FIDELITY DISTRIBUTORS COMPANY LLC, CHARLES SCHWAB & CO., INC.
Fee structure
Percentage of AUM, Hourly Charges
Client types
  • HNWI94.53%
  • Individuals5.17%
  • Charitable Organizations0.3%
Services
Financial PlanningPortfolio Management for IndividualsSelection of Other AdvisersEducational Seminars / Workshops

Firm profile

FINTRX

Overview

Broadview Financial Management, LLC is an independent registered investment adviser, founded for SEC registration in 2013 and owned by an individual. The firm serves primarily individuals and families, offering financial planning, discretionary portfolio management for individuals and small businesses, selection of third‑party advisers, and client education through seminars and workshops. Its fee model combines a percentage of assets under management with hourly billing. Broadview describes itself as a capital allocator and is not positioned as an active ESG investor or a multi‑state adviser.

Assets & Accounts

Public Holdings

Investments & Alternatives

Location & Offices

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Investment profile

FINTRX

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

FINTRX

CRM & tech providers

TAMPs used

Clients

FINTRX

Client base

Client personas

Asset composition

Asset composition: Public Funds/Mutual Funds 93%, Other 2%, Exchange Traded Equities 1%, US Government Bonds 1%, State & Local Bonds 1%, Investment Grade Corp Bonds 1%, Cash & Cash Equivalents 1%93%
  • Public Funds/Mutual Funds93%
  • Other2%
  • Exchange Traded Equities1%
  • US Government Bonds1%
  • State & Local Bonds1%

Owners & executives

3 of 3

  • ANGELA PINGEL

    General Counsel and Chief Compliance OfficerCRD 2491229

  • JOSEPH DAILEY

    Chief Operating OfficerCRD 2646145

  • MATTHEW GOIHL

    Chief Executive Officer, Financial PlannerCRD 5547291

Contacts

3 of 4

  • ADAM DODGE

    DirectorCRD 5581033

  • LISA DREGNE

    Financial PlannerCRD 6095269

  • NATHAN TURCOTTE

    Financial PlannerCRD 7329289

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Wealth teams

FINTRX

Newly hired reps

FINTRX

Recent M&A activity

FINTRX

Recent filings

FINTRX

Awards

FINTRX

ETF holdings

1 of 43

Active vs passive

$149M in ETFs

Passive

99%

$149M

Active

1%

$897K

ETFProviderStyleCategoryValueShares% of portfolio
ISHARES CORE MSCI EAFE ETF (IEFA)BlackRockPassiveForeign Large Blend$23.4M258,13915.64%
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Location

Primary office

WAUWATOSA, WI

MILWAUKEE

Location

WAUWATOSA, WI

Headquartered in WAUWATOSA, WI, anchoring the Milwaukee-Racine-Waukesha, WI metro in the Midwest.

Metro area
Milwaukee-Racine-Waukesha, WI
Region
Midwest
County
MILWAUKEE
Address
10401 W Innovation Dr
Time zone
CT (UTC-6)
Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth