Investment adviser · CRD 155792

BROADRIVER ASSET MANAGEMENT, L.P.

Investment adviser filing (IA)

NEW YORK, NY, United States · Form ADV filed Mar 27, 2026

Regulatory AUM: $2.34B
Client accounts: 9
Employees: 19
Advisory professionals: 7

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
Pooled investment vehicles	9	$2,342,302,630	100.0%

Filing source

Form ADV 2085304 · Mar 27, 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

5 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.

BROADRIVER LIFE SETTLEMENTS CREDIT FUND II LPOther Private Fund · Last reported Mar 27, 2026$543MGross asset value

Form D fundraising filings

BroadRiver Life Settlements Credit Fund I LP

Fund administrator MAPLES FUND SERVICES BOSTON, Massachusetts, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor ERNST & YOUNG LLP DUBLIN, Ireland

Custodian JPMORGAN CHASE NEW YORK, New York, United States Related to adviser: No

Provider details

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

ERNST & YOUNG LLP
PCAOB 1411

Fund details & source

Fund ID: 805-7803381685
Reported beneficial owners: 2
Minimum commitment: $10M
Form D file number: 021-405349

Form ADV 2085304 · Mar 27, 2026 · 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.

AXL WEALTH GROUP L.P.Private Equity Fund · Last reported Mar 27, 2026$515MGross asset value

Form D fundraising filings

AXL Wealth Group, LP

Fund administrator MAPLES FUND SERVICES BOSTON, Massachusetts, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor ERNST & YOUNG DUBLIN, Ireland

Custodian BANK OF UTAH SALT LAKE CITY, Utah, United States Related to adviser: No

Custodian JPMORGAN CHASE NEW YORK, New York, United States Related to adviser: No

Provider details

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

ERNST & YOUNG
PCAOB 1411

Fund details & source

Fund ID: 805-5653183848
Reported beneficial owners: 8
Minimum commitment: $0
Form D file number: 021-496851

Form ADV 2085304 · Mar 27, 2026 · 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.

BROADRIVER LITIGATION FINANCE I LPPrivate Equity Fund · Last reported Mar 27, 2026$8.47MGross asset value

Form D fundraising filings

BroadRiver Litigation Finance I LP

Fund administrator MAPLES FUND SERVICES BOSTON, Massachusetts, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor CBIZ NEW YORK, New York, United States

Custodian CANADIAN IMPERIAL BANK OF COMMERCE TORONTO, Canada Related to adviser: No

Provider details

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

CBIZ
PCAOB 688

Fund details & source

Fund ID: 805-5453698747
Reported beneficial owners: 3
Minimum commitment: $1M
Form D file number: 021-421206

Form ADV 2085304 · Mar 27, 2026 · 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.

BROADRIVER LIFE SETTLEMENTS CREDIT FUND I LPOther Private Fund · Last reported Mar 25, 2025$88.8MGross asset value

Fund administrator SS&C NEW YORK, New York, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor ERNST & YOUNG LLP DUBLIN, Ireland

Custodian JPMORGAN CHASE NEW YORK, New York, United States Related to adviser: No

Provider details

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

ERNST & YOUNG LLP
PCAOB 1411

Fund details & source

Fund ID: 805-1435258012
Reported beneficial owners: 2
Minimum commitment: $10M
Form D file number: 021-405349

Form ADV 1966144 · Mar 25, 2025 · 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.

BROADRIVER I, L.P.Other Private Fund · Last reported Mar 30, 2017$7.7MGross asset value

Fund administrator VISTRA USA, LLC (F/K/A ORANGEFIELD-COLUMBUS AVENUE CONSULTING, LLC) NEW YORK, New York, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor MARCUM LLP NEW YORK, New York, United States

Custodian BANK OF UTAH SALT LAKE CITY, Utah, United States Related to adviser: No

Custodian FIRST REPUBLIC BANK NEW YORK, New York, United States Related to adviser: No

Provider details

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

Fund details & source

Fund ID: 805-4859610521
Reported beneficial owners: 1
Minimum commitment: $15M

Form ADV 1090188 · Mar 30, 2017 · 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 27, 2026. View historical filings

Reported services

Pooled investment vehicle management

Compensation

Percentage of assets · Performance-based

Principal office

350 FIFTH AVENUE, SUITE 3100
NEW YORK, NY, 10118, United States

CRD 155792

Filing source

Form ADV 2085304 · Mar 27, 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.