BROADOAK ASSET MANAGEMENT, LLC

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Adviser Profile
As of Date 03/27/2024
Adviser Type - Large advisory firm
Number of Employees 8 -20.00%
of those in investment advisory functions 8 14.29%
Registration Maryland, Terminated, 12/1/2022
Other registrations (1)
AUM* 370,973,419 28.34%
of that, discretionary 370,973,419 28.34%
Private Fund GAV* 370,973,419 -6.28%
Avg Account Size 46,371,677 12.30%
SMA’s No
Private Funds 8 1
Contact Info 301 xxxxxxx
Websites

Client Types

- Pooled investment vehicles

Advisory Activities

- Portfolio management for pooled investment vehicles

Compensation Arrangments

- A percentage of assets under your management
- Performance-based fees

Recent News

Reported AUM

Discretionary
Non-discretionary
289M 248M 206M 165M 124M 83M 41M
2021 2022 2023

Private Funds



Employees

Private Funds Structure

Fund Type Count GAV
Fund TypePrivate Equity Fund Count7 GAV$354,840,413
Fund TypeVenture Capital Fund Count1 GAV$16,133,006

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Brochure Summary

Overview

FIRM DESCRIPTION BroakOak Asset Management LLC (“BroadOak” or the “Firm”) is organized as a Delaware limited liability company. BroadOak’s current business activities consist of providing investment advisory services to pooled investment vehicles. Our Firm is wholly owned by BroadOak Capital Partners, LLC. BroadOak Capital Partners is majority owned by William Snider and Donald Wilson with Lars Hanan and Research Corporation Technologies, Inc. sharing a minority position. TYPES OF ADVISORY SERVICES BroadOak Asset Management, LLC (“BroadOak”) is an investment manager focused exclusively on the life sciences sector. It was formed and is operated to manage private pooled investment funds with a narrow investment focus. BroadOak’s managing partner is William Snider. BroadOak Asset Management, LLC has been in operation since 2009, and is wholly owned by BroadOak Capital Partners, LLC. BroadOak Asset Management, LLC provides discretionary investment management services to U.S.-based private investment pools. In providing such services, BroadOak implements investment strategies based on evaluating life sciences, research tools, pharmaceutical, biotechnology, healthcare services
and other companies in the healthcare sector. Such strategies may include, within the healthcare sector and subject to each client’s investment program, investments in the securities of U.S. public and private companies. In providing its investment advisory services, BroadOak determines when and which investments will be acquired, disposed of, or exchanged on behalf of its clients to maintain a portfolio consistent with the Fund’s objectives. BroadOak seeks to invest primarily in growth- stage life sciences companies seeking debt or minority equity financing. Due to the nature of its business, BroadOak does not tailor its advisory services to the needs of individual clients and does not permit clients to impose restrictions upon investments in certain types of securities. ASSETS UNDER MANAGEMENT When calculating regulatory assets under management, an Investment Adviser must include the value of any private fund over which it exercises continuous and regular supervisory or management services. As noted above, BroadOak’s only clients are their private funds. As of December 31st, 2023, BroadOak manages $370,973,419 on a discretionary basis and $0 on a non-discretionary basis.