Michael M. Caspani

BROADOAK ASSET MANAGEMENT

Bethesda, MD 20814

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CRD#: 5170960

Professional summary

Michael Martin Caspani, who also goes by Michael Caspani, is a registered financial advisor currently at BROADOAK ASSET MANAGEMENT, LLC located in Bethesda, Maryland and BROADOAK PARTNERS, LLC located in Bethesda, Maryland.

Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Michael has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 79 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Michael Caspani

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

Director and acting treasurer of IXRF, INC. a Texas based life sciences tools company. Mr. Caspani joined the company in February 2020. He spends 15 hours per month on the activity. Mr. Caspani is a Director and acting secretary of PARTICLE DYNAMICS HOLDINGS, INC., a Missouri based pharmaceutical manufacturing company. Mr. Caspani joined the company in September 2021. He spends 15 hours per month on the activity. IXRF, INC. and PARTICLE DYNAMICS HOLDINGS, INC. are both portfolio companies of BroadOak Asset Management. Mr. Caspani is a partner and 13% owner of Sherman Avenue Capital, LLC. a real estate partnership that was formed in 2021 with the purpose of opportunistically making investments in real estate private equity funds or acquiring small scale properties. No physical address. Approximately 5 hour per month outside of market hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Martin Caspani's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

December 11, 2020 - Present

BROADOAK ASSET MANAGEMENT, LLC

Office #1: 4800 Montgomery Lane Suite 230, Bethesda, MD 20814

RIA

CRD#: 148901

Bethesda, MD

Current

November 6, 2017 - Present

BROADOAK PARTNERS, LLC

Office #1: 4800 Montgomery Lane Suite 230, Bethesda, MD 20814

CRD#: 143527

Bethesda, MD

Past

April 29, 2015 - October 19, 2017

MACQUARIE CAPITAL (USA) INC.

CRD#: 36368

NEW YORK, NY

Past

November 10, 2014 - April 13, 2015

HOULIHAN LOKEY ADVISORS, LLC

CRD#: 127835

NEW YORK, NY

Past

November 21, 2006 - July 14, 2008

BANC OF AMERICA SECURITIES LLC

CRD#: 26091

CHARLOTTE, NC

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

BROADOAK ASSET MANAGEMENT, LLC

BROADOAK ADVISORS | POINTOAK ADVISORS, LLC | POINTOAK ADVISORS | BROADOAK ASSET MANAGEMENT, LLC

CRD#: 148901 / SEC#: 801-121842

RIA

Registered Investment Advisory firm - (7/23/2021 Approved)

Maryland

Registered Investment Advisory firm - (12/1/2022 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Maryland
(11/6/2017)

IAR

Maryland
(12/11/2020)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/11/2020

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/13/2014

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 79

Date: 11/10/2014

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 7

Date: 11/20/2006

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

BROADOAK ASSET MANAGEMENT, LLC

BROADOAK ADVISORS | POINTOAK ADVISORS, LLC | POINTOAK ADVISORS | BROADOAK ASSET MANAGEMENT, LLC

CRD#: 148901 / SEC#: 801-121842

RIA

Registered Investment Advisory firm - (7/23/2021 Approved)

Maryland

Registered Investment Advisory firm - (12/1/2022 Terminated)

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Contact information

Main Address

4800 Montgomery Lane Suite 230, Bethesda, MD 20814

Mailing Address

Phone number

(301) 358-2692

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

BROADOAK ASSET MANAGEMENT, LLC. FIRM BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts	12
AUM (Assets Under Management)	$ 595,432,691

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Michael M. Caspani

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Martin Caspani's CRS (Customer Relationship Summary).

Certified licenses

Experience

BROADOAK PARTNERS, LLC

MACQUARIE CAPITAL (USA) INC.

HOULIHAN LOKEY ADVISORS, LLC

BANC OF AMERICA SECURITIES LLC

Primary Firm SEC Registration

BROADOAK ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/11/2020

Series 63

Date: 11/13/2014

SIE

Date: 10/1/2018

Series 79

Date: 11/10/2014

Series 7

Date: 11/20/2006

FINRA

Current Firm

BROADOAK ASSET MANAGEMENT, LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BROADOAK ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

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