Chief Compliance Officer · Brickell Key Asset Management Limited
Mark H. Broadwater
CRD 6629572 · Named on Form ADV at 2 SEC-registered advisers
At a glance
Brickell Key Asset Management Limited, an SEC-registered private fund adviser based in St. Peter Port, Guernsey with $120 million in regulatory assets, lists Mark H. Broadwater on its Form ADV as Chief Compliance Officer, a control person. The SEC filings also name Mark at 1 other registered adviser.
Firms and roles
- Brickell Key Asset Management LimitedChief Compliance OfficerPrivate fund adviser · St. Peter Port, Guernsey · $120M in regulatory assets
- Brickell Key Asset Management LLCChief Compliance OfficerPrivate fund adviser · Charleston, SC · $120M in regulatory assets
AtlasMembers
Mark’s stakes and control
What Form ADV says they own at each firm, whether they control it, and how each firm is growing. Atlas members see all of it.
- Ownership stake at each firm
- 2 firmsLocked
- Control-person status
- 2 firmsLocked
- When each role began
- Locked
- Each firm’s assets and growth
- Locked
- Search and export owners by title, state and firm size
- Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Colleagues named on the same filings
- Patricia C. WhiteDirector, Brickell Key Asset Management Limited
- Andrew S. ElderDirector, Brickell Key Asset Management Limited
- Billy H. YuenDirector, Brickell Key Asset Management Limited
Something wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For Mark’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.