# Broadway Financial Management

Broadway Financial Management is an Asset Manager based in New York, United States.

## Overview

- **Organization type:** Asset Manager
- **Headquarters:** New York, United States
- **Region:** North America
- **Address:** New York, NY, United States
- **Founded:** 1989
- **Assets under management:** Undisclosed
- **Website:** broadwayfinancial.com

## Regulatory record

- **CRD number:** 155795
- **SEC file number:** 801-96282
- **Registration status:** Registered
- **Reports private funds:** No
- **IAPD record:** https://adviserinfo.sec.gov/firm/summary/155795

## About

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.

## Sectors

- Private Equity
- Public Equities
- Fixed Income
- Real Assets
- Infrastructure

## People

- William E. Simon Jr. — Founder & Chief Investment Officer
- John S. O'Brien — President

## Questions

### 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.

### 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.

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Last updated: 2026-06-03T20:00:00.000Z

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