Private fund adviser · New York, NY
Broadriver Asset Management, L.P.
SEC-registered investment adviser · CRD 155792 · SEC 801-72019
At a glance
Broadriver Asset Management, L.P. is an SEC-registered investment adviser based in New York, New York, with $2.3 billion in regulatory assets under management as of its Form ADV filed March 27, 2026. Its largest client group by assets is pooled investment vehicles. By Form ADV it is a private fund adviser, ranked 1,531st of 4,686 private fund advisers and 3,309th of 17,210 SEC-registered advisers by assets.
Main office 212-486-0600broadrivercap.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $2.3B
- Rank among private fund advisers
- #1,531 of 4,686
- Rank among all SEC RIAs
- #3,309 of 17,210
- Rank in New York
- #791 of 2,591
- Clients
- 9
- Accounts
- 9
- Discretionary
- 100% of AUM
- Employees
- 19
- Advisory staff
- 7
- Offices
- 1
Owners and executives on its Form ADV
- Andrew H. PlevinCo-Chief Executive Officer
- Philip J. SillerCo-Chief Executive Officer
- David LouieManaging Director, COO
- Lisa ChunGeneral Counsel and Chief Compliance Officer
Custody and brokerage
Custodian
Broadriver Asset Management, L.P.’s Form ADV lists no custodian for separately managed accounts. Firms report one only when they manage $10 million or more in those accounts.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Pooled investment vehicles | 9 | $2.3B | 100% |
Private funds
Broadriver Asset Management, L.P. reports 9 private funds with $2.8B in gross assets: private equity funds, other private funds (Form ADV Item 7.B).
Disciplinary disclosures
Broadriver Asset Management, L.P. reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Portfolio management for pooled investment vehicles
How it’s paid
- A percentage of assets under management
- Performance-based fees
Form ADV and brochures on the SEC’s adviser search ↗broadrivercap.com ↗
AtlasMembers
The full record on Broadriver Asset Management, L.P.
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, ten years of filings
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- Growth over one, three and five years
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- Rank against 1,793 peers of its type and size
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- Owners and executives, with titles and stakes
- 4 namedLocked
- Main office, fax and compliance officer
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- Filing changes this year, with alerts
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Background
Questions
How much does Broadriver Asset Management, L.P. manage?
Broadriver Asset Management, L.P. reports $2.3 billion in regulatory assets under management across 9 accounts, 100% of it on a discretionary basis, on its Form ADV filed March 27, 2026.
What kind of firm is Broadriver Asset Management, L.P.?
Broadriver Asset Management, L.P. is a private fund adviser by its Form ADV answers. Private funds are at least half of its business by assets.
Who are Broadriver Asset Management, L.P.’s clients?
By assets, its largest client types are pooled investment vehicles ($2.3 billion, 9 clients).
Does Broadriver Asset Management, L.P. manage private funds?
Yes. It reports 9 private funds with $2.8 billion in gross assets, including private equity funds, other private funds.
Does Broadriver Asset Management, L.P. have any disciplinary history?
Broadriver Asset Management, L.P. reports no disciplinary disclosures in Item 11 of its Form ADV. Check the SEC’s adviser search for the latest record.
Where these numbers come from
Every figure is Broadriver Asset Management, L.P.’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-03-27), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →