SourcingSourcing

BROADWATER CAPITAL MANAGEMENT LLC

A74
CRD 125509·SEC 801-126394·BOSTON, MA
AUM
$161.0M
$100M-$500M
Est. Revenue
$1.6M
@ 1% on AUM
Est. EBITDA
$483K
@ 30% margin
Est. Deal Value
$3.9M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
BROADWATER CAPITAL MANAGEMENT LLC
CRD
125509
SEC file #
801-126394
EIN
300126819
DBA names
—

Economics

AUM
$161.0M
AUM band
$100M-$500M
AUM trajectory
'23'26
$163.1M → $161.0M▼ -1%
Client mix
Individuals High Net Worth18
Individuals Other18

Operations

Employees (total)
1
Advisory staff (per ADV)
1
Advisory staff (5-yr trend)
'23'26
1 advisors → 1 advisors▬ 0%
Primary office
BOSTON MA
Branches
—

Custodian & Brokerage

Primary custodian
E*Tradelow confidence
Services offered
Portfolio mgmt — individualsPortfolio mgmt — businesses
Fee basis
% of AUM

Filings

Latest ADV filing
03/25/2026
ADV-W filed at
—
Website
—

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
GARCIA, ANGEL, MANUEL
Top Owner Pct
62.5
Top Owner Entity Kind
I
Owner Count
2
Control Persons
GARCIA, ANGEL, MANUEL
GARCIA, BRENT, EVAN
Solo Advisor Indicator
Yes
Succession Risk Solo Owner
No
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No

SEC EDGAR

Edgar Cik
0002084339
Edgar Registered
Yes
Edgar Filing Count
19
Edgar First Filing Date
2025-10-31
Edgar Last Filing Date
2026-02-03
Edgar 13f Count
17
Edgar 13f Latest AUM Estimate
Filing Date2026-02-03
Accession0002084339-26-000009

Compliance & brand

Firm Registration Status
active

All other collected signals (12)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
0
Bc Firm Active IA Count
1
Bc Firm IAR Count
1
Custodian Candidates
Full
E*trade4
Fidelity2
Edgar Addresses
Mailing
15 COURT SQ STE 640BOSTON, MA 02108
Business
15 COURT SQ STE 640BOSTON, MA 02108
Edgar EIN
300126819
Edgar Recent Filings
13F-HR/A2026-02-03 · 0002084339-26-000009
13F-HR/A2026-02-03 · 0002084339-26-000008
Firm Has Custody
Yes
Mailing Office Differs
No
Top Owner CRD
1866252
Trust Company Affiliate
No

People (2)

2
GARCIA, BRENT, EVAN
IAR · Direct Owner · 62.5%
2502544
ANGEL MANUEL GARCIA
Direct Owner · 62.5%
1866252