Broadway Wealth Solutions, Inc.
- Regulatory AUM
- $308M
- Discretionary
- $274M
- Clients
- 906
- Avg AUM / client
- $340K
- Accounts
- 1,254
- Employees
- 11
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Mar 05, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 723 | $145M | 47.0% |
| High net worth individuals | 152 | $149M | 48.5% |
| Pension and profit sharing plans | 1 | $179K | 0.06% |
| Charitable organizations | 4 | $4.2M | 1.38% |
| Corporations and other businesses | 26 | $9.7M | 3.15% |
People (11)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Christian Ray Escamilla | Chief Executive Officer | Jun 2020 (6y) | Less than 5% | |
| Khristene Ann Cano | Chief Compliance Officer/President | Nov 2020 (6y) | Less than 5% | |
| Thomas Jordan Wright | Registered representative | Apr 2019 (7y) | ||
| Nicole Ann Lopez | Registered representative | Jul 2021 (5y) | ||
| Michael Dennis Louis Ryan | Registered representative | Nov 2022 (4y) | ||
| Ernesto Aguilar | Registered representative | Apr 2023 (3y) | ||
| Paul Anthony Figueroa | Registered representative | Jun 2023 (3y) | ||
| Alfonso Charles | Registered representative | Aug 2024 (2y) | ||
| Gayle Marie Rodriguez | Registered representative | May 2025 (1y) | ||
| Robin Jade Badillo | Registered representative | Dec 2025 (1y) | ||
| Harlee Caroline Holcomb | Registered representative | Jan 2026 (1y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Broadway National Bank | Owner | Dec 2017 | A | 75% or more |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
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) | 03/05/2026 | 996 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
Services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
Custody
Reported custodians
- Charles Schwab & Co. $308M (100% of AUM) Mar 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 05, 2026.
View current Form ADV (SEC/IAPD) ↗