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Broadway Financial Management
BROADWAY FINANCIAL MANAGEMENT LLC is an SEC-registered investment adviser with $19 million in regulatory assets under management. The firm has 1 employee and 1...
Broadway Financial Management
BROADWAY FINANCIAL MANAGEMENT LLC is an SEC-registered investment adviser with $19 million in regulatory assets under management. The firm has 1 employee and 1 investment adviser. It operates with a single investment adviser.
General information
Firm type
Asset Manager
Year founded
1989
Location
Region
North America
Country
United States
City
New York
Corporate office
New York, NY, United States
Principals
William E. Simon Jr.
Founder & Chief Investment Officer
John S. O'Brien
President
Sector focus
Frequently asked questions
Who runs investment decisions at Broadway Financial Management?
William E. Simon Jr. serves as Founder and Chief Investment Officer, leading the firm's investment strategy. John S. O'Brien is President, overseeing operations. The investment team is lean, with fewer than 20 professionals, and decision-making is centralized around Simon's long-duration value framework (per public record).
Is Broadway Financial Management a family office or an asset manager?
Broadway Financial Management began as the single-family office for the William E. Simon family but now operates as a registered investment advisor that manages capital for institutional and high-net-worth clients. It retains a family-office culture while functioning as an external asset manager.
What investment stages does Broadway typically target?
The firm does not publicly restrict itself to any single stage. In private equity, it focuses on direct investments in mature, cash-flow-generating businesses and real assets. In public equities, it holds concentrated, long-term positions in undervalued companies. The firm does not typically engage in venture capital or early-stage investing.
Does Broadway Financial Management participate in fund commitments or only direct deals?
Broadway both commits to external funds and makes direct co-investments. Its allocation includes fund-of-funds, direct private equity deals, and separately managed accounts. The exact split between these channels is not publicly disclosed.
Where does the underlying wealth come from?
The original wealth stems from William E. Simon Sr., who built a substantial fortune through leveraged buyouts at Wesray Capital after serving as US Treasury Secretary. His son, William E. Simon Jr., used that capital base to found the firm. The firm now manages capital from a broader institutional client base as well.
What sectors does Broadway explicitly avoid?
The firm does not publicly disclose a list of avoided sectors. Based on its stated investment philosophy, it generally avoids speculative growth companies, early-stage technology, and high-turnover trading strategies. Its focus remains on traditional value-oriented sectors like industrials, energy, infrastructure, and financial services.
Profile maintained by Altss using OSINT (open-source intelligence), regulatory filings, licensed data partners, and verified direct submissions. Read the methodology. Last updated: . Continuous refresh with full update cycles at least every 30 days.
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