Firm profile

Mcbroom & Associates, LLC

LAS VEGAS, NVCRD 151187Registration Status: ApprovedEffective since May 12, 2021SEC # 801-121225Latest ADV October 12, 2026

Mcbroom & Associates, LLC's Form ADV filing dated 2026-10-12 reports $242,094,579 in regulatory assets under management, $240,596,508 discretionary and $1,498,071 non-discretionary, 257 accounts, and 3 employees.

Assets Under Management
$242M
Employees
3
Offices
1 office
Total Clients
114

Associated firm names

2 names listed
  • MCBROOM & ASSOCIATES, LLC
  • SUNSET FINANCIAL PLANNING, LLC

Leadership

2 roles identified
CEOMartin W. Mcbroom
CCOYuko T. Du Bois

Advisory services offered

1 types reported
Portfolio management for individuals and small businesses

Fee models offered

1 types reported
Asset based fees

Offices & Contact

Primary office

LAS VEGAS, Nevada, United States

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Primary office regionOther reported regions

Shading shows states and countries with reported offices. Cities are listed below; shading does not indicate service coverage.

Nevada

LAS VEGASPrimary office

1 office records listed · 1 total offices reported. Counts can use different reporting dates. SEC filers may list only their largest 25 additional offices.

Contact and digital presence

ADV profile links
Phone702-267-6649
WebsiteNot found
LinkedInNot found

Regulatory Assets Under Management Breakdown

Total regulatory assets under management$242Mas of October 12, 2026
Discretionary99.4%
$241M
99% of total RAUM99.4%
Non-discretionary0.6%
$1M
1% of total RAUM0.6%
Regulatory assets under management are split between discretionary and non-discretionary assets.

Client Coverage Demographics

Top client segmentHNWI represent 50.9% of total clients.
Top client categories% of clientsClients
1
HNWI
50.9%
58
2
Individuals
45.6%
52
3
Charitable
3.5%
4
Categories with <5 clients
Charitable Organizations<5 clients

Assets under management Growth by Quarter

Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.

Total AUM$242M
Total Accounts257
10Y AUM Change+$113M (+88.0%)

Private Funds

Private funds reported by Mcbroom & Associates, LLC

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Employee Growth by Quarter

Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.

Total Employees3
Clients per Employee38:1
10Y Employee Change0 (0.0%)

Historical AUM and employee figures reflect available SEC Form ADV filings under this CRD. Filing gaps may reflect registration status changes, dormant periods, state registration periods, firm restructuring, or other reporting changes. Rialytix does not interpolate missing periods.

This firm has a multi year gap in available SEC ADV filing history between 2012 and 2021. Charts show the most recent available filing segment under this CRD.


Ownership

Reported direct and indirect ownership ranges

Each range applies to a separate reported relationship and should not be added together.

Reported ownership ranges

Highlighted bands show the percentage range reported in Form ADV.

0%25%50%75%100%
MCBROOM FAMILY TRUSTDirect owner · Schedule AInterest in MCBROOM & ASSOCIATES, LLC
75%+
MARTIN WILLEY MCBROOMIndirect owner · Schedule BInterest in MCBROOM FAMILY TRUST
50% to < 75%
Sheila Ann McBroomIndirect owner · Schedule BInterest in MCBROOM FAMILY TRUST
50% to < 75%

Bars represent the reported range at that individual ownership step, not an estimated percentage of the advisory firm. Indirect relationships may refer to intermediate entities rather than directly to Mcbroom & Associates, LLC.

Reported ownership and control details

Form ADV · Filing date 2026-05-14 · Schedules A and B

5 entries
#Owner / person & roleInterest in entityReported interestControl personTitle / status acquiredSource
1MARTIN WILLEY MCBROOMPRESIDENT AND CEOIndividualMCBROOM & ASSOCIATES, LLCLess than 5%Code NAYesPRESIDENT AND CEO01/2012Schedule APDF page 20
2YUKO T DU BOISCHIEF COMPLIANCE OFFICERIndividualMCBROOM & ASSOCIATES, LLCLess than 5%Code NAYesCHIEF COMPLIANCE OFFICER01/2012Schedule APDF page 20
3MCBROOM FAMILY TRUSTBENEFICIARY OWNERDomestic entityMCBROOM & ASSOCIATES, LLC75% or moreCode EYesBENEFICIARY OWNER10/2014Schedule APDF page 20
4MARTIN WILLEY MCBROOMBENEFICIAL OWNERIndividualMCBROOM FAMILY TRUST50% to less than 75%Code DYesBENEFICIAL OWNER10/2014Schedule BPDF page 21
5Sheila Ann McBroomBENEFICIAL OWNERIndividualMCBROOM FAMILY TRUST50% to less than 75%Code DYesBENEFICIAL OWNER10/2014Schedule BPDF page 21

Less than 5% may include zero. Code F identifies a role without specifying a percentage. Reported interests may overlap and may not include every owner. Total indirect ownership is not calculated.

Compliance & Disclosures

Filing dated 5/14/2026 1:40:51 PM

Responses were selected by the RIA in its filing. Questions are shortened for readability; “you” refers to the reporting firm, and some questions also cover advisory affiliates.

RIA or supervised-person involvementThe RIA reported that none of the events below involve the firm or its supervised persons.RIA responseNo
AFelonies2 No

In the past ten years, have you or any advisory affiliate:

  • A1Been convicted of or pleaded guilty or no contest to a felony?No
  • A2Been charged with a felony?No
BMisdemeanors2 No

In the past ten years, have you or any advisory affiliate:

  • B1Been convicted of or pleaded guilty or no contest to a misdemeanor involving investments, an investment-related business, fraud, false statements or omissions, wrongful taking of property, bribery, perjury, forgery, counterfeiting, or extortion?No
  • B2Been charged with a misdemeanor of the kind listed above?No
CSEC or CFTC actions5 No

Has the SEC or CFTC ever:

  • C1Found you or an advisory affiliate made a false statement or omission?No
  • C2Found you or an advisory affiliate violated SEC or CFTC regulations or statutes?No
  • C3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
  • C4Entered an order against you or an advisory affiliate in connection with investment-related activity?No
  • C5Imposed a civil money penalty on you or an advisory affiliate, or ordered you or an advisory affiliate to cease and desist from any activity?No
DOther regulatory actions5 No

Has any other federal regulatory agency, state regulatory agency, or foreign financial regulatory authority ever:

  • D1Found you or an advisory affiliate made a false statement or omission, or was dishonest, unfair, or unethical?No
  • D2Found you or an advisory affiliate violated investment-related regulations or statutes?No
  • D3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
  • D4In the past ten years, entered an order against you or an advisory affiliate in connection with investment-related activity?No
  • D5Denied, suspended, or revoked your or an advisory affiliate’s registration or license, or otherwise prevented association with an investment-related business or restricted activities?No
ESelf-regulatory organization actions4 No

Has a self-regulatory organization or commodities exchange ever:

  • E1Found you or an advisory affiliate made a false statement or omission?No
  • E2Found you or an advisory affiliate violated its rules, other than a violation designated as a minor rule violation under an SEC-approved plan?No
  • E3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
  • E4Disciplined you or an advisory affiliate by expulsion, suspension, barring association with other members, or otherwise restricting activities?No
FProfessional authorizations1 No
  • FHas an authorization to act as an attorney, accountant, or federal contractor granted to you or an advisory affiliate ever been revoked or suspended?No
GPending regulatory proceedings1 No
  • GAre you or any advisory affiliate now the subject of a regulatory proceeding that could result in a “Yes” answer to any part of C, D, or E?No
HCivil judicial actions and proceedings4 No

(1) Court actions

Has a domestic or foreign court:

  • H(1)(a)In the past ten years, enjoined you or an advisory affiliate in connection with investment-related activity?No
  • H(1)(b)Found that you or an advisory affiliate violated investment-related statutes or regulations?No
  • H(1)(c)Dismissed, pursuant to a settlement agreement, an investment-related civil action brought against you or an advisory affiliate by a state or foreign financial regulatory authority?No

(2) Pending civil proceedings

  • H(2)Are you or any advisory affiliate now the subject of a civil proceeding that could result in a “Yes” answer to any part of H(1)?No

* Metrics are based on the latest available data, including Form ADV filings, brochures, and relationship summaries pulled from the SEC IAPD, and may be subject to change. Learn what is included in the Rialytix data. Please refer to the firm's official disclosures for the most accurate information using their CRD number. This is not investment advice.