BROADMARK ASSET MANAGEMENT LLC – investment adviser, $238M regulatory AUM (Form ADV)

Who they report serving

Form ADV · Item 5.D

Client types and their share of reported regulatory assets.

Client type	Clients	Regulatory assets	Share of AUM
Investment companies	2	$234,114,779	98.2%
Corporations & businesses	Fewer than 5	$4,237,536	1.8%

Filing source

Form ADV 2088299 · Mar 31, 2026 · Item 5.D

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

Private funds & service providers

2 Private funds

The count excludes feeder funds. Funds in the latest filing appear first, ordered by reported gross assets. Earlier funds retain their last reported values.

BROADMARK DYNAMIC ENHANCED EQUITY ALPHA FUND LPHedge Fund · Last reported Sep 20, 2016$9.26MGross asset value

Form D fundraising filings

Broadmark Dynamic Enhanced Equity Alpha Fund, LP

Fund administrator NIGRO KARLIN SEGAL FELDSTEIN & BOLNO LLC FARMINGDALE, New York, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor ERNST & YOUNG LLP SAN FRANCISCO, California, United States

Custodian CITIGROUP GLOBAL MARKETS INC. NEW YORK, New York, United States Related to adviser: No

Custodian MORGAN STANLEY & CO. LLC NEW YORK, New York, United States Related to adviser: No

Marketer REVERE SECURITIES LLC NEW YORK, New York, United States Related to adviser: Yes

Prime broker CITIGROUP GLOBAL MARKETS INC. NEW YORK, New York, United States

Prime broker MORGAN STANLEY & CO. LLC NEW YORK, New York, United States

Provider details

Annual audit: Yes
Prime brokers: Yes
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: Yes

CITIGROUP GLOBAL MARKETS INC.
SEC 8-8177

MORGAN STANLEY & CO. LLC
SEC 8-15869

REVERE SECURITIES LLC
CRD 14178 · SEC 8-30511

CITIGROUP GLOBAL MARKETS INC.
CRD 7059 · SEC 8-8177

MORGAN STANLEY & CO. LLC
CRD 8209 · SEC 8-15869

Fund details & source

Fund ID: 805-4565704783
Reported beneficial owners: 17
Minimum commitment: $500K
Form D file number: 021-70371

Form ADV 1041307 · Sep 20, 2016 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

BROADMARK DYNAMIC ENHANCED EQUITY ALPHA FUND LTDHedge Fund · Last reported Mar 28, 2013$533KGross asset value

Form D fundraising filings

Broadmark Dynamic Enhanced Equity Alpha Fund, Ltd.

Fund administrator ISIS FUND SERVICES LTD HAMILTON, Bermuda Investor statements: Yes (provided to all investors) Related to adviser: No

Custodian CITIGROUP GLOBAL MARKETS INC. NEW YORK, New York, United States Related to adviser: No

Marketer CONNEX INTERNATIONAL LLC NEW YORK, New York, United States Related to adviser: No

Marketer CONNEXION CAPITAL LLP LONDON, United Kingdom Related to adviser: No

Marketer FORWARD MANAGEMENT, LLC SAN FRANCISCO, California, United States Related to adviser: Yes

Marketer PHOENIX GLOBAL CAPITAL MANAGEMENT, LTD WILMETTE, Illinois, United States Related to adviser: No

Marketer REVERE SECURITIES CORP. NEW YORK, New York, United States Related to adviser: Yes

Prime broker CITIGROUP GLOBAL MARKETS INC. NEW YORK, New York, United States

Provider details

Annual audit: No
Prime brokers: Yes
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: Yes

CITIGROUP GLOBAL MARKETS INC.
SEC 8-8177

FORWARD MANAGEMENT, LLC
CRD 109193 · SEC 801-55746

PHOENIX GLOBAL CAPITAL MANAGEMENT, LTD
CRD 129997 · SEC 8-66290

REVERE SECURITIES CORP.
CRD 14178

CITIGROUP GLOBAL MARKETS INC.
CRD 7059 · SEC 8-8177

Fund details & source

Fund ID: 805-3319946407
Reported beneficial owners: 1
Minimum commitment: $500K
Form D file number: 021-93886

Form ADV 721386 · Mar 28, 2013 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

Services & filing details

Most recent filing: Mar 31, 2026. View historical filings

Reported services

Individual portfolio management · Investment company portfolio management · Business portfolio management

Compensation

Percentage of assets · Performance-based

Principal office

200 CRESCENT COURT, SUITE 1200
DALLAS, TX, 75201, United States

CRD 109422

Filing source

Form ADV 2088299 · Mar 31, 2026 · Items 1 & 5

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.