B
Broadwater Capital Management LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$141,421,632
Clients
36
50% 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
36
HighAverage account size
$3,928,379
About
Broadwater Capital Management LLC provides individualized investment advisory and discretionary portfolio management to individuals, trusts, charitable entities, small institutions, and personal corporations. The firm manages approximately $161 million in client assets and constructs diversified portfolios using a range of securities including equities, fixed income, mutual funds, ETFs and options.
The firm combines fundamental and technical analysis with a bottom-up security selection process informed by top-down portfolio-level diversification, tailoring allocations to each client’s risk tolerance, time horizon, income needs, and goals. Portfolios are typically oriented toward long-term holdings but may include shorter-term trades when client circumstances or market opportunities warrant, and Broadwater generally manages accounts on a discretionary basis.
Unlike many peers, Broadwater’s client mix explicitly includes corporate/business and charitable organization accounts and offers portfolio management for small institutional clients, client types that are uncommon among independent advisers. The firm maintains a custodial relationship with a major provider that supports fiduciary accounting for trusts, operates as a small family-owned firm founded in 2003, and serves a relatively concentrated client base of roughly 36 relationships.
Client services
Portfolio management
Expertise
Active portfolio management
Options & derivatives strategies
Fee options
$0 - $1,000,000: 1.0% $1,000,001 - $2,000,000: 0.8% $2,000,001+: 0.65%
Main office location
Broadwater Capital Management LLC
15 Court Square, Suite 640
Boston MA 02108-2521, United States
Number of offices
1
Most active in
Broadwater Capital Management LLC has reported serving >5 clients in these states in the last 12 months.
Massachusetts · New Hampshire
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.
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