Braddock Financial LLC (Denver)

Name: Braddock Financial LLC
Address: 1200 17 Th Street, Denver, CO, 80202
Telephone: 303-308-6400

Braddock Financial LLC is a large advisory firm based in Denver. It manages $394.14 million of regulatory assets for 2 client accounts. It has been registered with the SEC as an adviser since 2015 and has operated in the jurisdiction of Colorado.

Braddock Financial provides portfolio management for investment companies and portfolio management for pooled investment vehicles. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Braddock Financial: assets under management

The assets under management (AUM) of Braddock Financial LLC is $394.14 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 231% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $394.14 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $197.07 million each.

Braddock Financial has custody of $3.92 million in cash and securities for 1 client in total but doesn’t act as a qualified custodian.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Braddock Financial LLC for their services and products based on a percentage of assets under management and performance-based fees. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Braddock Financial serves?

The firm provides services to investment companies and pooled investment vehicles. The largest group of clients of Braddock Financial is investment companies with 1 clients and $390.22 million of assets under management. Among the 10 most similar advisory firms, Braddock Financial has the highest percentage of investment companies out of all clients.

The amount of regulatory assets under management is $394.14 million for 2 clients. None of the firm’s clients are foreign persons or businesses.

Braddock Financial also advises several private funds. Namely, one hedge fund. The minimum investment commitment required of non-related persons is $250,000 for each fund.

Careers at Braddock Financial LLC

The company employs 9 people that are either part- or full-time employees. 56 percent of the employees work as investment advisers or researchers. Only one employee is registered as an investment adviser representative with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Harvey Baer Allon	Chief executive officer, president, chief investment officer & member	1 May 1994	50% - 75%	726935
Thomas Stephen Plisko	Chief financial officer, chief operations officer, corporate secretary & member	1 Feb 2003	Other	4940359
Toby Richard Giordano	Portfolio manager & member	1 May 2005	Other	2212690
David Charles Allon	Senior vice president & member	1 Nov 2006	Other	5277083
Garrett Edward Tripp	Senior portfolio manager, senior vice president & member	1 Dec 2010	Other	5905071
Ken Glickstein	Chief compliance officer & member	1 Dec 2012	Other	6177467
Gregory G Seals	Portfolio specialist & member	1 Feb 2013	Other	3020620
Matthew A Talkington	Senior analyst & member	1 Dec 2015	Other	6594266

Based in Denver

The principal office where Braddock Financial LLC performs its advisory services is located at 1200 17 Th Street, Denver, CO 80202, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 303-308-6400 or by fax 303-291-1312. The normal business hours are 8:00 am - 5:00 pm on Monday - Friday. You can find more information about the New York firm at braddockfinancial.com.