Broken Investing, LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$60,000
Clients
6
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
6
Very LowAverage account size
$10,000
About
Broken Investing, LLC is an independent advisory firm led by a single advisor that provides discretionary portfolio management to individual and high‑net‑worth clients. The firm manages a very small client base (fewer than ten clients) and does not provide financial planning or other ancillary services.
The adviser relies on technical analysis grounded in the Chartered Market Technician (CMT) curriculum and pursues an active, high‑risk trading style across equities, ETFs, and exchange‑traded options to capture short‑term market movements. Portfolio management is discretionary, the firm conducts a written suitability intake before accepting clients, and it generally does not permit client‑imposed restrictions on holdings.
Distinctive practices include a fee‑free trial period for new clients and a written policy to waive advisory fees in quarters when accounts have negative net returns, as well as a custodial relationship with Interactive Brokers and use of block trade aggregation. The principal is a CMT charterholder and a university professor who has served on a university audit, risk, and investment committee, and the firm limits account numbers to enable closer monitoring.
Client services
Portfolio management
Expertise
Options & derivatives strategies
Active portfolio management
Concentrated stock management
Fee options
Account minimum: $10,000 (negotiable)
Main office location
Broken Investing, LLC
425 Austin Avenue, Suite 1205
Waco TX 76701, United States
Number of offices
1
Most active in
Broken Investing, LLC has reported serving >5 clients in these states in the last 12 months.
Texas
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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