# BROADRIVER ASSET MANAGEMENT, L.P.

BROADRIVER ASSET MANAGEMENT, L.P. of NEW YORK, NY is an SEC-registered investment adviser.

## Registration

- CRD: 155792
- Type: SEC-registered investment adviser
- SEC file number: 801-72019
- Location: 350 FIFTH AVENUE, SUITE 3100, NEW YORK, NY, 10118
- Phone: 212-486-0600
- Latest filing: 2026-03-27
- Regulatory AUM: $2.3B
- Discretionary AUM: $2.3B
- Clients: 19
- Accounts: 9

## Business model

- Compensation: % of AUM, Performance
- Clients served: Investment cos

## Officers, owners & control persons (14)

| Name | Role | Location |
| --- | --- | --- |
| [Andrew Howard Plevin](https://search.stillhousedata.com/person/712550) | CO-CHIEF EXECUTIVE OFFICER; MEMBER | — |
| [Philip Joseph Siller](https://search.stillhousedata.com/person/712551) | CO-CHIEF EXECUTIVE OFFICER; MEMBER | — |
| [David Louie](https://search.stillhousedata.com/person/712552) | MANAGING DIRECTOR, COO | — |
| [Lisa Chun](https://search.stillhousedata.com/person/712553) | GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER | New York, NY |
| [FELDMAN ANDREW ELIOT](https://search.stillhousedata.com/person/737216) | CHIEF LEGAL OFFICER AND CHIEF COMPLIANCE OFFICER | — |
| [CHUN LISA](https://search.stillhousedata.com/person/750514) | GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER | — |
| [PLEVIN ANDREW HOWARD](https://search.stillhousedata.com/person/771990) | CHIEF COMPLIANCE OFFICER; CO-CEO; CO-CHIEF EXECUTIVE OFFICER (+3 more) | — |
| [SILLER PHILIP JOSEPH](https://search.stillhousedata.com/person/771991) | CO-CEO; CO-CHIEF EXECUTIVE OFFICER; LIMITED PARTNER AND CO-CHIEF EXECUTIVE OFFICER (+3 more) | — |
| [PLEVIN ANDREW H](https://search.stillhousedata.com/person/810862) | CHIEF COMPLIANCE OFFICER | — |
| [SILLER PHILIP](https://search.stillhousedata.com/person/810863) | CO-CEO | — |
| [ORMOND WENDY ELLEN](https://search.stillhousedata.com/person/811847) | CHIEF COMPLIANCE OFFICER; CORPORATE COUNSEL; CHIEF COMPLIANCE OFFICER; GENERAL  COUNSEL | — |
| [ORMOND WENDY](https://search.stillhousedata.com/person/827976) | CCO | — |
| [DICKSON EMMA MAY](https://search.stillhousedata.com/person/828829) | GENERAL COUNSEL AND CCO | — |
| [LOUIE DAVID](https://search.stillhousedata.com/person/858762) | MANAGING DIRECTOR, COO; MANAGING DIRECTOR OF OPS AND CAO | — |


## Private funds (9)

Mix: Other Private Fund 7 · Private Equity Fund 2

| Fund | Type | Formed | Owners | GAV | Min investment |
| --- | --- | --- | --- | --- | --- |
| BROADRIVER III, L.P. | Other Private Fund | Delaware | 44 | $778.3M | $10.0M |
| BROADRIVER IV LP | Other Private Fund | Delaware | 6 | $679.4M | $10.0M |
| BROADRIVER LIFE SETTLEMENTS CREDIT FUND II LP | Other Private Fund | Delaware | 2 | $543.2M | $10.0M |
| AXL WEALTH GROUP L.P. | Private Equity Fund | Delaware | 8 | $515.5M | — |
| BROADRIVER II-A, L.P. | Other Private Fund | Delaware | 1 | $103.5M | $150.0M |
| BROADRIVER II, L.P. | Other Private Fund | Delaware | 8 | $81.7M | $10.0M |
| BROADRIVER IV LAGUNA 2022 LP | Other Private Fund | Delaware | 3 | $49.9M | — |
| DIAMOND LS I LP | Other Private Fund | Delaware | 6 | $34.1M | $10.0M |
| BROADRIVER LITIGATION FINANCE I LP | Private Equity Fund | Delaware | 3 | $8.5M | $1.0M |


## Fund service providers (2)

- administrator: MAPLES FUND SERVICES — 6 funds
- administrator: VISTRA USA, LLC — 3 funds

## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/155792/brochure
- Similar advisers: https://search.stillhousedata.com/firm/155792/similar
- Related entities: https://search.stillhousedata.com/firm/155792/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/155792

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Source: public SEC Form ADV data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.