Broadview Wealth Management, LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$136,885,686
Clients
74
43% high-net-worth
Advisors
1
of 1 employees
Firm type
Independent
1 advisor with up to 2 employees
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
74
Very HighAverage account size
$1,849,807
About
Broadview Wealth Management advises individuals, high‑net‑worth clients, families, small businesses, and retirement plans, offering financial planning, ongoing portfolio management on a non‑discretionary basis, and retirement plan advisory services including 3(21) plan support and participant education. The firm also assists business owners with 401(k) custodian and plan considerations and facilitates plan implementation with third‑party recordkeepers and TPAs.
The firm documents client objectives in an Investment Policy Statement and emphasizes low‑cost, tax‑efficient portfolio construction, drawing on modern portfolio theory and fundamental analysis. Portfolios are generally implemented with long‑term strategies but the firm may use short‑term trading, margin, and options when appropriate, and it seeks fair allocation of investment opportunities across clients.
Noteworthy features include a substantial proportion of assets reported as non‑discretionary and an active role providing portfolio management for institutional retirement plans and small business clients — services that are less common among independent advisers. The firm manages assets in‑house without selecting third‑party investment managers and uses access to a selective class of institutional mutual funds (Dimensional Fund Advisors), which is distinctive for a firm of its type.
Client services
Financial planning
Portfolio management
Expertise
Active portfolio management
Options & derivatives strategies
Tax-loss harvesting
College savings (529s, UTMA, etc.)
Retirement plans for business owners (SEP, solo 401k)
Occupation focus
Founder/Business Owner
Retired
Fee options
Financial planning fixed fee of $1,500 per plan; $1,500 for newly created 401K plans
$0 - $750,000: 1.00% $750,001 - $1,500,000: 0.75% $1,500,001 - $5,000,000: 0.50% $5,000,001 - $10,000,000: 0.35% $10,000,001+: 0.25%
Minimum fee: $1,500 per year, billed quarterly in arrears Fee-only: Financial planning fixed fee of $1,500 per plan
Main office location
Broadview Wealth Management, LLC
Kirkland WA, United States
Number of offices
1
Most active in
Broadview Wealth Management, LLC has reported serving >5 clients in these states in the last 12 months.
California · Texas · Washington
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:
-
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.
-
Trust company
They provide trust and estate administration services, typically for separate fees.
-
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.
-
Lawyer
They provide legal services, typically billed separately.
-
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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