BRADDOCK FINANCIAL LLC
CRD #112732 SEC #801-60893 DENVER, CO 303-308-6400
SEC Registered Private Funds
Total AUM
$565.4M
Discretionary
$565.4M
Employees
8
Clients
--
Accounts
2
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- Delaware
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Mar 29, 2022
- Branch Offices
- 0
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| AHERN, KEVIN, WALTER | I | PRESIDENT / CHIEF OPERATING OFFICER | NA | Control |
| AHERN, KEVIN, WALTER | I | PRESIDENT / CHIEF OPERATING OFFICER | NA | Control |
| AHERN, KEVIN, WALTER | I | PRESIDENT / CHIEF OPERATING OFFICER | NA | Control |
| AHERN, KEVIN, WALTER | I | PRESIDENT / CHIEF OPERATING OFFICER | NA | Control |
| AHERN, KEVIN, WALTER | I | PRESIDENT / CHIEF OPERATING OFFICER | NA | Control |
| ALLON, DAVID, CHARLES | I | PRINCIPAL / SENIOR VICE-PRESIDENT | NA | Control |
| ALLON, DAVID, CHARLES | I | PRINCIPAL / SENIOR VICE-PRESIDENT | NA | Control |
| ALLON, DAVID, CHARLES | I | PRINCIPAL / SENIOR VICE-PRESIDENT | NA | Control |
| ALLON, DAVID, CHARLES | I | PRINCIPAL / SENIOR VICE-PRESIDENT | NA | Control |
| ALLON, DAVID, CHARLES | I | PRINCIPAL / SENIOR VICE-PRESIDENT | NA | Control |
| ALLON, DAVID, CHARLES | I | PRINCIPAL / SENIOR VICE-PRESIDENT | NA | Control |
| ALLON, DAVID, CHARLES | I | SENIOR VICE PRESIDENT | NA | Control |
| ALLON, DAVID, CHARLES | I | SENIOR VICE PRESIDENT | NA | Control |
| ALLON, DAVID, CHARLES | I | SENIOR VICE PRESIDENT | NA | Control |
| ALLON, DAVID, CHARLES | I | SENIOR VICE PRESIDENT | NA | Control |
| ALLON, DAVID, CHARLES | I | SENIOR VICE PRESIDENT & MEMBER | NA | Control |
| ALLON, DAVID, CHARLES | I | SENIOR VICE PRESIDENT | NA | Control |
| ALLON, DAVID, CHARLES | I | SENIOR VICE PRESIDENT & MEMBER | NA | Control |
| ALLON, DAVID, CHARLES | I | SENIOR VICE PRESIDENT & MEMBER | NA | Control |
| ALLON, DAVID, CHARLES | I | SENIOR VICE PRESIDENT & MEMBER | NA | Control |
| ALLON, DAVID, CHARLES | I | SENIOR VICE PRESIDENT & MEMBER | NA | Control |
| ALLON, DAVID, CHARLES | I | SENIOR VICE PRESIDENT & MEMBER | NA | Control |
| ALLON, DAVID, CHARLES | I | SENIOR VICE PRESIDENT & MEMBER | NA | Control |
| ALLON, DAVID, CHARLES | I | SENIOR VICE PRESIDENT & MEMBER | NA | Control |
| ALLON, DAVID, CHARLES | I | SENIOR VICE PRESIDENT | NA | Control |
| ALLON, HARVEY, BAER | I | CHIEF EXECUTIVE OFFICER, PRESIDENT, CHIEF INVESTMENT OFFICER | NA | Control |
| ALLON, HARVEY, BAER | I | CHIEF EXECUTIVE OFFICER, PRESIDENT, CHIEF INVESTMENT OFFICER | NA | Control |
| BROWN, WYCK, JOSEPH | I | PRINCIPAL / SENIOR PORTFOLIO MANAGER | NA | Control |
| BROWN, WYCK, JOSEPH | I | PRINCIPAL / SENIOR PORTFOLIO MANAGER | NA | Control |
| BROWN, WYCK, JOSEPH | I | PRINCIPAL / SENIOR PORTFOLIO MANAGER | NA | Control |
| BROWN, WYCK, JOSEPH | I | PRINCIPAL / SENIOR PORTFOLIO MANAGER | NA | Control |
| BROWN, WYCK, JOSEPH | I | PRINCIPAL / SENIOR PORTFOLIO MANAGER | NA | Control |
| BROWN, WYCK, JOSEPH | I | PRINCIPAL / SENIOR PORTFOLIO MANAGER | NA | Control |
| BROWN, WYCK, JOSEPH | I | PRINCIPAL / SENIOR PORTFOLIO MANAGER | NA | Control |
| BROWN, WYCK, JOSEPH | I | PRINCIPAL / SENIOR PORTFOLIO MANAGER | NA | Control |
| BROWN, WYCK, JOSEPH | I | SENIOR VICE PRESIDENT | NA | Control |
| GIORDANO, TOBY, RICHARD | I | PORTFOLIO MANAGER | NA | Control |
| GIORDANO, TOBY, RICHARD | I | PORTFOLIO MANAGER | NA | Control |
| GLICKSTEIN, KEN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| GLICKSTEIN, KEN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| GLICKSTEIN, KEN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| GLICKSTEIN, KEN | I | CHIEF COMPLIANCE OFFICER & MEMBER | NA | Control |
| GLICKSTEIN, KEN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| GLICKSTEIN, KEN | I | CHIEF COMPLIANCE OFFICER & MEMBER | NA | Control |
| GLICKSTEIN, KEN | I | CHIEF COMPLIANCE OFFICER & MEMBER | NA | Control |
| GLICKSTEIN, KEN | I | CHIEF COMPLIANCE OFFICER & MEMBER | NA | Control |
| GLICKSTEIN, KEN | I | CHIEF COMPLIANCE OFFICER & MEMBER | NA | Control |
| GLICKSTEIN, KEN | I | CHIEF COMPLIANCE OFFICER & MEMBER | NA | Control |
| GLICKSTEIN, KEN | I | CHIEF COMPLIANCE OFFICER & MEMBER | NA | Control |
| GLICKSTEIN, KEN | I | CHIEF COMPLIANCE OFFICER & MEMBER | NA | Control |
| GLICKSTEIN, KEN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| GLICKSTEIN, KEN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| KAPLAN, DAVID, ALAN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| KAPLAN, DAVID, ALAN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| KAPLAN, DAVID, ALAN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| KAPLAN, DAVID, ALAN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| KAPLAN, DAVID, ALAN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| KAPLAN, DAVID, ALAN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| KAPLAN, DAVID, ALAN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MYERS, DAVID, ROSS | I | PRINCIPAL / SENIOR PORTFOLIO MANAGER | NA | Control |
| MYERS, DAVID, ROSS | I | PRINCIPAL / SENIOR PORTFOLIO MANAGER | NA | Control |
| MYERS, DAVID, ROSS | I | PRINCIPAL / SENIOR PORTFOLIO MANAGER | NA | Control |
| MYERS, DAVID, ROSS | I | PRINCIPAL / SENIOR PORTFOLIO MANAGER | NA | Control |
| MYERS, DAVID, ROSS | I | PRINCIPAL / SENIOR PORTFOLIO MANAGER | NA | Control |
| MYERS, DAVID, ROSS | I | PRINCIPAL / SENIOR PORTFOLIO MANAGER | NA | Control |
| MYERS, DAVID, ROSS | I | PRINCIPAL / SENIOR PORTFOLIO MANAGER | NA | Control |
| PILSKO, THOMAS, STEPHEN | I | PRINCIPAL / CHIEF FINANCIAL OFFICER | NA | Control |
| PILSKO, THOMAS, STEPHEN | I | PRINCIPAL / CHIEF FINANCIAL OFFICER / CHIEF COMPLIANCE OFFICER | NA | Control |
| PILSKO, THOMAS, STEPHEN | I | PRINCIPAL / CHIEF FINANCIAL OFFICER | NA | Control |
| PILSKO, THOMAS, STEPHEN | I | PRINCIPAL / CHIEF FINANCIAL OFFICER / CHIEF COMPLIANCE OFFICER | NA | Control |
| PILSKO, THOMAS, STEPHEN | I | PRINCIPAL / CHIEF FINANCIAL OFFICER | NA | Control |
| PILSKO, THOMAS, STEPHEN | I | PRINCIPAL / CHIEF FINANCIAL OFFICER | NA | Control |
| PILSKO, THOMAS, STEPHEN | I | PRINCIPAL / CHIEF FINANCIAL OFFICER | NA | Control |
| PLISKO, THOMAS, STEPHEN | I | PRINCIPAL / CHIEF FINANCIAL OFFICER | NA | Control |
| PLISKO, THOMAS, STEPHEN | I | CHIEF FINANCIAL OFFICER & CHIEF OPERATIONS OFFICER & CORPORATE SECRETARY | NA | Control |
| PLISKO, THOMAS, STEPHEN | I | CHIEF FINANCIAL OFFICER & CHIEF OPERATIONS OFFICER & CORPORATE SECRETARY | NA | Control |
| PLISKO, THOMAS, STEPHEN | I | CHIEF FINANCIAL OFFICER & CHIEF OPERATIONS OFFICER & CORPORATE SECRETARY | NA | Control |
| PLISKO, THOMAS, STEPHEN | I | CHIEF FINANCIAL OFFICER & CHIEF OPERATIONS OFFICER & CORPORATE SECRETARY | NA | Control |
| PLISKO, THOMAS, STEPHEN | I | CHIEF FINANCIAL OFFICER & CHIEF OPERATIONS OFFICER & CORPORATE SECRETARY | NA | Control |
| PLISKO, THOMAS, STEPHEN | I | CHIEF FINANCIAL OFFICER, CHIEF OPERATIONS OFFICER, CORPORATE SECRETARY | NA | Control |
| PLISKO, THOMAS, STEPHEN | I | CHIEF FINANCIAL OFFICER, CHIEF OPERATIONS OFFICER, CORPORATE SECRETARY | NA | Control |
| TRIPP, GARRETT, EDWARD | I | PRINCIPAL/VICE PRESIDENT | NA | Control |
| TRIPP, GARRETT, EDWARD | I | SENIOR PORTFOLIO MANAGER & SENIOR VICE PRESIDNET | NA | Control |
| TRIPP, GARRETT, EDWARD | I | SENIOR PORTFOLIO MANAGER & SENIOR VICE PRESIDNET | NA | Control |
| TRIPP, GARRETT, EDWARD | I | SENIOR PORTFOLIO MANAGER & SENIOR VICE PRESIDNET | NA | Control |
| TRIPP, GARRETT, EDWARD | I | SENIOR PORTFOLIO MANAGER & SENIOR VICE PRESIDNET | NA | Control |
| TRIPP, GARRETT, EDWARD | I | SENIOR PORTFOLIO MANAGER & SENIOR VICE PRESIDENT | NA | Control |
| TRIPP, GARRETT, EDWARD | I | SENIOR PORTFOLIO MANAGER, SENIOR VICE PRESIDENT | NA | Control |
| TRIPP, GARRETT, EDWARD | I | SENIOR PORTFOLIO MANAGER, SENIOR VICE PRESIDENT | NA | Control |
| talkington, matthew, A | I | SENIOR ANALYST & MEMBER | NA | |
| talkington, matthew, A | I | SENIOR ANALYST & MEMBER | NA | |
| talkington, matthew, A | I | SENIOR ANALYST & MEMBER | NA | |
| talkington, matthew, A | I | SENIOR ANALYST & MEMBER | NA | |
| ALLON, HARVEY, BAER | I | PRINCIPAL / CHAIRMAN / CHIEF EXECUTIVE OFFICER | E | Control |
| ALLON, HARVEY, BAER | I | PRINCIPAL / CHAIRMAN / CHIEF EXECUTIVE OFFICER | E | Control |
| ALLON, HARVEY, BAER | I | PRINCIPAL / CHAIRMAN / CHIEF EXECUTIVE OFFICER | E | Control |
| ALLON, HARVEY, BAER | I | PRINCIPAL / CHAIRMAN / CHIEF EXECUTIVE OFFICER | E | Control |
| ALLON, HARVEY, BAER | I | PRINCIPAL / CHAIRMAN / CHIEF EXECUTIVE OFFICER | E | Control |
| ALLON, HARVEY, BAER | I | PRINCIPAL / CHAIRMAN / CHIEF EXECUTIVE OFFICER | E | Control |
| ALLON, HARVEY, BAER | I | PRINCIPAL / CHAIRMAN / CHIEF EXECUTIVE OFFICER | E | Control |
| ALLON, HARVEY, BAER | I | PRINCIPAL / CHAIRMAN / CHIEF EXECUTIVE OFFICER | E | Control |
| ALLON, HARVEY, BAER | I | PRESIDENT/OWNER | E | Control |
| ALLON, HARVEY, BAER | I | CHIEF EXECUTIVE OFFICER & PRESIDENT & CHIEF INVESTMENT OFFICER | E | Control |
| ALLON, HARVEY, BAER | I | CHIEF EXECUTIVE OFFICER & PRESIDENT & CHIEF INVESTMENT OFFICER | E | Control |
| ALLON, HARVEY, BAER | I | CHIEF EXECUTIVE OFFICER & PRESIDENT & CHIEF INVESTMENT OFFICER | E | Control |
| ALLON, HARVEY, BAER | I | CHIEF EXECUTIVE OFFICER & PRESIDENT & CHIEF INVESTMENT OFFICER | E | Control |
| ALLON, HARVEY, BAER | I | CHIEF EXECUTIVE OFFICER & PRESIDENT & CHIEF INVESTMENT OFFICER | E | Control |
| BRADDOCK FINANCIAL GP, LLC | DE | MEMBER | E | Control |
| BRADDOCK FINANCIAL GP, LLC | DE | MEMBER | E | Control |
| ALLON, HARVEY, BAER | I | CHIEF EXECUTIVE OFFICER, PRESIDENT, CHIEF INVESTMENT OFFICER & MEMBER | D | Control |
| ALLON, HARVEY, BAER | I | CHIEF EXECUTIVE OFFICER, PRESIDENT, CHIEF INVESTMENT OFFICER & MEMBER | D | Control |
| ALLON, HARVEY, BAER | I | CHIEF EXECUTIVE OFFICER, PRESIDENT, CHIEF INVESTMENT OFFICER & MEMBER | D | Control |
| ALLON, HARVEY, BAER | I | CHIEF EXECUTIVE OFFICER, PRESIDENT, CHIEF INVESTMENT OFFICER & MEMBER | D | Control |
| ALLON, HARVEY, BAER | I | CHIEF EXECUTIVE OFFICER, PRESIDENT, CHIEF INVESTMENT OFFICER & MEMBER | D | Control |
| ALLON, HARVEY, BAER | I | CHIEF EXECUTIVE OFFICER, PRESIDENT, CHIEF INVESTMENT OFFICER & MEMBER | D | Control |
| ALLON, HARVEY, BAER | I | CHIEF EXECUTIVE OFFICER, PRESIDENT, CHIEF INVESTMENT OFFICER & MEMBER | D | Control |
| ALLON, HARVEY, BAER | I | CHIEF EXECUTIVE OFFICER, PRESIDENT, CHIEF INVESTMENT OFFICER & MEMBER | D | Control |
| GIORDANO, TOBY, RICHARD | I | PORTFOLIO MANAGER & MEMBER | A | Control |
| GIORDANO, TOBY, RICHARD | I | PORTFOLIO MANAGER | A | Control |
| GIORDANO, TOBY, RICHARD | I | PORTFOLIO MANAGER & MEMBER | A | Control |
| GIORDANO, TOBY, RICHARD | I | PORTFOLIO MANAGER & MEMBER | A | Control |
| GIORDANO, TOBY, RICHARD | I | PORTFOLIO MANAGER & MEMBER | A | Control |
| GIORDANO, TOBY, RICHARD | I | PORTFOLIO MANAGER & MEMBER | A | Control |
| GIORDANO, TOBY, RICHARD | I | PORTFOLIO MANAGER & MEMBER | A | Control |
| GIORDANO, TOBY, RICHARD | I | PORTFOLIO MANAGER & MEMBER | A | Control |
| GIORDANO, TOBY, RICHARD | I | PORTFOLIO MANAGER & MEMBER | A | Control |
| PLISKO, THOMAS, STEPHEN | I | CHIEF FINANCIAL OFFICER, CHIEF OPERATIONS OFFICER, CORPORATE SECRETARY & MEMBER | A | Control |
| PLISKO, THOMAS, STEPHEN | I | CHIEF FINANCIAL OFFICER, CHIEF OPERATIONS OFFICER, CORPORATE SECRETARY & MEMBER | A | Control |
| PLISKO, THOMAS, STEPHEN | I | CHIEF FINANCIAL OFFICER, CHIEF OPERATIONS OFFICER, CORPORATE SECRETARY & MEMBER | A | Control |
| PLISKO, THOMAS, STEPHEN | I | CHIEF FINANCIAL OFFICER, CHIEF OPERATIONS OFFICER, CORPORATE SECRETARY & MEMBER | A | Control |
| PLISKO, THOMAS, STEPHEN | I | CHIEF FINANCIAL OFFICER, CHIEF OPERATIONS OFFICER, CORPORATE SECRETARY & MEMBER | A | Control |
| PLISKO, THOMAS, STEPHEN | I | CHIEF FINANCIAL OFFICER, CHIEF OPERATIONS OFFICER, CORPORATE SECRETARY & MEMBER | A | Control |
| PLISKO, THOMAS, STEPHEN | I | CHIEF FINANCIAL OFFICER, CHIEF OPERATIONS OFFICER, CORPORATE SECRETARY & MEMBER | A | Control |
| PLISKO, THOMAS, STEPHEN | I | CHIEF FINANCIAL OFFICER, CHIEF OPERATIONS OFFICER, CORPORATE SECRETARY & MEMBER | A | Control |
| SEALS, GREGORY, G | I | PORTFOLIO SPECIALIST & MEMBER | A | Control |
| SEALS, GREGORY, G | I | PORTFOLIO SPECIALIST | A | Control |
| SEALS, GREGORY, G | I | PORTFOLIO SPECIALIST & MEMBER | A | Control |
| TRIPP, GARRETT, EDWARD | I | SENIOR PORTFOLIO MANAGER, SENIOR VICE PRESIDENT & MEMBER | A | Control |
| TRIPP, GARRETT, EDWARD | I | SENIOR PORTFOLIO MANAGER, SENIOR VICE PRESIDENT & MEMBER | A | Control |
| TRIPP, GARRETT, EDWARD | I | SENIOR PORTFOLIO MANAGER, SENIOR VICE PRESIDENT & MEMBER | A | Control |
| TRIPP, GARRETT, EDWARD | I | SENIOR PORTFOLIO MANAGER, SENIOR VICE PRESIDENT & MEMBER | A | Control |
| TRIPP, GARRETT, EDWARD | I | SENIOR PORTFOLIO MANAGER, SENIOR VICE PRESIDENT & MEMBER | A | Control |
| TRIPP, GARRETT, EDWARD | I | SENIOR PORTFOLIO MANAGER, SENIOR VICE PRESIDENT & MEMBER | A | Control |
| TRIPP, GARRETT, EDWARD | I | SENIOR PORTFOLIO MANAGER, SENIOR VICE PRESIDENT & MEMBER | A | Control |
| TRIPP, GARRETT, EDWARD | I | SENIOR PORTFOLIO MANAGER, SENIOR VICE PRESIDENT & MEMBER | A | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| ALLON, HARVEY, BAER | I | BRADDOCK HOLDINGS COMPANY, LLC | E | Control |
| ALLON, HARVEY, BAER | I | BRADDOCK HOLDINGS COMPANY, LLC | E | Control |
| BRADDOCK HOLDINGS COMPANY, LLC | DE | BRADDOCK FINANCIAL GP, LLC | E | Control |
| BRADDOCK HOLDINGS COMPANY, LLC | DE | BRADDOCK FINANCIAL GP, LLC | E | Control |
Registrations
Federal
IA
Mar 29, 2022 REGISTERED
Notice Filings (1)
CO
Address
1200 17TH STREETSUITE 1210
DENVER, CO 80202
United States
Phone: 303-308-6400