Broad Investment Securities Llc
- Regulatory AUM
- $200
- Discretionary
- $200
- Clients
- 2
- Avg AUM / client
- $100
- Accounts
- 2
- Employees
- 2
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of May 06, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 2 | $200 | 100.0% |
People (2)
| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Cheng, Jiahui | General Manager | Aug 2022 (4y) | ≈ 18.75% – 50% via Broad Securities Llc | |
| Kaya, Ali | Ceo And Cco | Aug 2022 (4y) | ≈ 37.5% – 75% via Broad Securities Llc |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Broad Securities Llc | Owner | Aug 2022 | A | 75% or more |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Cheng, Jiahui: 25% – 50% of Broad Securities Llc × 75% – 100% direct ≈ 18.75% – 50% of the firm
- Kaya, Ali: 50% – 75% of Broad Securities Llc × 75% – 100% direct ≈ 37.5% – 75% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 05/06/2026 | 906 KB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Performance-based fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
Custody
Firm reports it does not have custody of client funds or securities (Item 9.A).
No custodian data reported or mined yet.
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: May 06, 2026.
View current Form ADV (SEC/IAPD) ↗