Broomfield Advisory & Management

Broomfield Advisory & Management is a sole‑proprietorship registered investment adviser that provides investment management and financial planning primarily to individual clients, including high‑net‑worth individuals. The firm states it offers portfolio management, security selection and pricing, and personalized financial advice, and can operate on either a discretionary or non‑discretionary basis, although the brochure indicates it currently manages no client assets.

The firm describes a holistic investment approach that evaluates national and global macroeconomic conditions and uses both fundamental and technical analysis to select and price individual securities; timing and execution of purchases and sales are explicitly part of its process. It notes frequent use of individual equities and the potential use of index or leveraged funds, and it identifies market‑timing and execution risk as material considerations in its strategies.

Distinctive features noted in the brochure include the owner’s separate, part‑time real estate litigation and consulting law practice and multiple professional licenses (attorney, certified public accountant, real‑estate broker and insurance producer), which the firm discloses under other business activities and affiliations. The brochure also documents that fees are negotiated fixed amounts (with billing rather than asset‑deduction), the adviser does not take custody of client assets, and that the firm addressed de‑minimis regulatory exam findings about filings and disclosures.