B
Broad Brook Financial
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$0
Clients
1
0% high-net worth
Advisors
1
of 1 employees
Firm type
Independent
1 advisor
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
1
Very LowAverage account size
$0
About
Broad Brook Financial provides financial planning, investment management, and general financial advisory services to individual and small business clients. The firm offers engagements that range from fixed-fee planning and hourly advice to ongoing portfolio management under negotiated fee arrangements common among independent advisers.
The firm’s investment approach emphasizes asset-allocation decisions rather than security selection, employing an active strategy that primarily uses passive vehicles such as ETFs and ETNs and that tilts between longer-term core positions and shorter-term opportunistic trades based on both fundamental and technical views of the economic cycle. Broad Brook makes non-discretionary trade recommendations, conducts periodic (typically monthly) reviews to monitor net worth, liquidity and allocation ranges, and relies on clients to execute transactions.
Noteworthy features include the principal’s CFA credential and a background in leveraged credit, structured finance and corporate finance, which inform the firm’s macro and credit perspectives. The brochure also highlights transparency and conflict-management practices that are less common among peers — for example, monthly disclosure of the principal’s personal asset allocation and trade activity, avoidance of performance-based fees, and explicit discussion of issuer-credit and liquidity risks associated with instruments like ETNs.
Client services
Financial planning
Portfolio management
Expertise
Passive / index investing
Active portfolio management
Fee options
$500 - $3,000 for financial planning
$0 - $500,000: 1.25% annually $500,001 - $1,000,000: 1.00% annually $1,000,001 - $2,000,000: 0.75% annually $2,000,001 - $3,000,000: 0.50% annually $3,000,001+: 0.25% annually
$125 per hour
Main office location
Broad Brook Financial
Chelmsford MA, United States
Number of offices
1
Most active in
Broad Brook Financial has reported serving >5 clients in these states in the last 12 months.
Massachusetts
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
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