SEC-registered firm
Registration does not mean the SEC approves or recommends the firm, and it does not imply a certain level of skill or training.
Broadwater Capital Management LLC
Boston, MA
CRD 125509
Firm filing updated September 18, 2026 ·
- $161MAssets
- 1Advisory staff
- 94Accounts
Fees and minimums
All fee types on the form
- Percentage of assets under managementYes
- Hourly chargesNo
- Fixed feesNo
- Subscription fees (for a newsletter or periodical)No
- CommissionsNo
- Performance-based feesNo
- OtherNo
Who the firm serves
- Individuals18
- High net worth individuals18
See the client table
| Client type | Approximate number of clients | Assets |
|---|---|---|
| Individuals (other than high net worth) | 18 | $11.7 million |
| High net worth individuals | 18 | $129.7 million |
| Charitable organizations | Fewer than 5 clients | $16.1 million |
| Corporations or other businesses not listed above | Fewer than 5 clients | $3.5 million |
What the client labels mean
Here, "individuals" includes trusts, estates, and IRAs of individuals. A "high net worth individual" is a qualified client or qualified purchaser.
Services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
Assets and accounts
- Regulatory assets$161.0 million
- Accounts94
- DiscretionaryAll accounts
People
- Employees1
- Advisory staff1
- Broker-dealer reps0
- Licensed insurance agents0
Advisors
1 advisors with a profile on Advisable
Listed A to Z by last name. Not a ranking.
Registration details
- SEC-registered investment advisor. CRD 125509, SEC file 801-126394.
- Registered with the SEC as an investment advisor (status date on record: August 15, 2022).
Is Broadwater Capital Management LLC a fiduciary?
Short answer: Broadwater Capital Management LLC is registered with the SEC as an investment advisor.
More detail
The SEC put it this way in 2019: 'Under federal law, an investment adviser is a fiduciary.'
The firm does not report commissions, a broker-dealer role, a related broker-dealer, or staff who are broker-dealer representatives.
The firm's Form CRS explains its services, fees and conflicts in plain language: Form CRS.
About this data
Informational only. Advisable Finance is not an investment advisor, does not give investment advice, and does not endorse any advisor.