Broadmeadow Capital, LLC (Barrington)

Name: Broadmeadow Capital, LLC
Address: 330 East Main Street, Barrington, IL, 60010
Telephone: 312-224-8150

Broadmeadow Capital, LLC is a related adviser based in Barrington. It manages $1.51 million of regulatory assets for 17 client accounts. It has been registered with the SEC as an adviser since 2015 and has operated in the jurisdictions of Illinois and Indiana.

Broadmeadow Capital provides portfolio management for individuals and small businesses and portfolio management for businesses and institutional clients. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Broadmeadow Capital: assets under management

The assets under management (AUM) of Broadmeadow Capital, LLC is $1.51 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 188% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $1.51 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $88.76 thousand each.

Investments

The firm invests in exchange traded securities the most. They account for 97% of the total AUM. The second-largest asset type is cash and cash equivalents, which make up 3% of the firm’s portfolio.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Broadmeadow Capital, LLC for their services and products based on a percentage of assets under management. 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 David Richard Cabot serves?

The firm provides services to other investment advisers and corporations or other businesses. The largest group of clients of David Richard Cabot is other investment advisers with 13 clients and $1.39 million of assets under management. Among the 1 most similar advisory firms, Broadmeadow Capital has the highest percentage of other investment advisers out of all clients.

The amount of regulatory assets under management is $1.51 million for 17 clients. None of the firm’s clients are foreign persons or businesses.

Broadmeadow Capital doesn't advise any private funds.

Careers at Broadmeadow Capital, LLC

The company employs 4 people that are either part- or full-time employees. 50 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’s a single person with the role of looking for and bringing in new clients on behalf of the firm. The firm compensates employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

David Richard Cabot has been acting as President since 1 Jan 2015. Eric Lawrence Biegeleisen has served as the Chief Investment Officer since 1 Jan 2015. Neil Ray Peplinski joined the executive team most recently as the Chief Investment Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Llc Cedar Capital	Managing member	1 Jan 2015	75% - 100%	61-1749795
David Richard Cabot	President	1 Jan 2015	Other	4861378
Eric Lawrence Biegeleisen	Chief investment officer	1 Jan 2015	Other	5561113
Yashesh Kamlesh Patel	Chief operating officer	1 Jan 2015	Other	6176987
Catherine (Cami) Ann Kirschner	Chief compliance officer	1 Jan 2015	Other	4853702
David R Cabot	President	1 Jan 2015	Other	4861378
Eric L Biegeleisen	Chief investment officer	1 Jan 2015	Other	5561113
Yash Patel	Chief operating officer	1 Jan 2015	Other	6176987
Catherine (Cami) A Kirschner	Chief compliance officer	1 Jan 2015	Other	4853702
David Burriss Boon	Chief financial officer	1 Mar 2015	Other	1516660
Kevin W Swanson	Chief compliance officer	1 Mar 2016	Other	6534417
Neil Ray Peplinski	Chief investment officer	1 Jul 2016	Other	4673461

Indirect Owners

The SEC currently registers 11 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Llc Cedar Capital Investments Holdings	Member	1 Jan 2015	75% - 100%	26-2299041
Neil Ray Peplinski	Member/manager	1 Jan 2015	Other	4673461
Paul Russell Ingersoll	Member/manager	1 Jan 2015	Other	5655984
Peplinski Cedar Llc	Member	1 Jan 2015	25% - 50%	46-1629577
Ingersoll Cedar Llc	Member	1 Jan 2015	25% - 50%	46-1630565
Mitchell Louis Hollin	Manager	1 Jan 2015	Other	1322948
Christopher John Mcgowan	Manager	1 Jan 2015	Other	2265040
Inc. Good Harbor Corporate Holdings	Member	1 Jan 2015	Other	46-2267246
Lp Llr Equity Partners Iii	Member	1 Jan 2015	Other	45-4674051
Benjamin Marcel Cukier	Manager	1 Jan 2015	Other	6025084
Richard N Garman	Manager	1 Mar 2015	Other	2426940

Based in Barrington

The principal office where Broadmeadow Capital, LLC performs its advisory services is located at 330 East Main Street, Barrington, IL 60010, 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 312-224-8150 or by fax 312-674-7230. The normal business hours are 9:00 - 5:00 on Monday - Friday. You can find more information about the New York firm at broadmeadowcapital.com.