SourcingSourcing

BROADWAY ADVISOR GROUP

C46
CRD 324281·SEC 801-127086·ALBANY, NY
AUM
$214.9M
$100M-$500M
Est. Revenue
$2.1M
@ 1% on AUM
Est. EBITDA
$645K
@ 30% margin
Est. Deal Value
$5.2M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
BROADWAY ADVISOR GROUP
CRD
324281
SEC file #
801-127086
EIN
—
DBA names
—

Economics

AUM
$214.9M
AUM band
$100M-$500M
AUM trajectory
'25'26
$166.6M → $214.9M▲ +29%
Client mix
Individuals Other244
Individuals High Net Worth71
Pension Profit Sharing Plans5
Corporations1

Operations

Employees (total)
4
Advisory staff (per ADV)
3
Advisory staff (5-yr trend)
'23'26
2 advisors → 3 advisors▲ +50%
Primary office
ALBANY NY
Branches
—

Custodian & Brokerage

Primary custodian
Fidelitylow confidence
Services offered
Financial planningPortfolio mgmt — individualsPension consultingSelection of other advisers
Fee basis
% of AUMHourly chargesFixed fees

Filings

Latest ADV filing
03/31/2026
ADV-W filed at
—
Website
sgroiwealth.com

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
SGROI, JASON, MICHAEL
Top Owner Pct
87.5
Top Owner Entity Kind
I
Owner Count
1
Control Persons
SGROI, JASON, MICHAEL
Solo Advisor Indicator
No
Succession Risk Solo Owner
Yes
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
ok
Rdap Domain
SGROIWEALTH.COM
Rdap Domain Creation Date
2011-01-05T20:02:17Z
Rdap Firm Age Years
15
Rdap Firm Age Band
10-20y
Rdap Registrar
Automattic Inc.

Retirement-plan book (Form 5500) ★

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

Retirement Plan Book
No

SEC EDGAR

Edgar Registered
No

Local market & wealth

Rank targets by how wealthy the local market is

Soi High Wealth Score
0.1102
Soi Zip Pct 200k Plus
0.0254
Soi Zip Returns 200k Plus
30
Soi Zip Total AGI
66,217
Fdic Zip Total Deposits
169,456,207,000
Fdic Zip Branch Count
384
Fdic Zip Top Banks
KeyBank National Association
Keybank National Association

Compliance & brand

Firm Registration Status
active

All other collected signals (24)

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
2
Bc Firm IAR Count
2
Custodian Candidates
Full
Fidelity4
E*trade4
Interactive Brokers2
Fdic Zip Branches Raw
The Hudson City Savings InstitutionAlbany, NY
Evergreen BankAlbany, NY
Fdic Zip HHI
2906.36
Fdic Zip Top Bank Share Pct
48.33
Fdic Zip Year
2025
Firm Has Custody
No
Mailing Office Differs
No
Rdap Domain Expiration Date
2027-01-05T20:02:17Z
Rdap Domain Last Changed
2025-12-16T08:59:20Z
Rdap Nameservers
Ns1.wordpress.comNs2.wordpress.comNs3.wordpress.com
Rdap Secure Dns Enabled
No
Rdap Status
Client Transfer Prohibited
Soi Year
2022
Soi Zip Distribution
Stub 1
AGI4,405
Returns360
Stub 2
AGI11,900
Returns330
Stub 3
AGI15,334
Returns250
Soi Zip Total Business Income
1,034
Soi Zip Total Cap Gains
484
Soi Zip Total Dividends
367
Soi Zip Total Returns
1,180
Top Owner CRD
4613747
Trust Company Affiliate
No

People (2)

2
SGROI, JASON, MICHAEL
IAR · Direct Owner · 87.5%
4613747
JOHN FRANCIS MENDRYSA
IAR
2492930