Braddock Financial LLC

Braddock Financial LLC is an SEC registered investment adviser founded in 1994, specializing in offering investment advisory services to private funds, registered funds, and institutional clients through separately-managed accounts. The firm focuses on residential mortgage-backed securities (RMBS), collateralized loan obligations (CLOs), and other structured finance securities such as asset-backed securities (ABS). Braddock manages approximately $565.4 million in regulatory assets under management on a discretionary basis as of January 31, 2022. The firm charges management fees ranging from 0.5% to 1.50% annually based on assets under management, and may also receive performance-based compensation. Braddock exercises investment discretion for client accounts, tailoring advisory services to each client's specific needs. The firm's investment philosophy involves a disciplined set of analytical techniques and criteria for evaluating securities, integrating top-down market analysis, bottom-up credit analysis, and ongoing risk management surveillance. Braddock has implemented a compliance program and Code of Ethics to safeguard client assets and ensure ethical conduct. The firm does not engage in principal transactions with clients without prior written consent. Clients are provided with transaction confirmation notices and monthly account statements directly from the custodian or administrator. Braddock does not share client information for marketing purposes and has established security measures to protect personal information. The firm's key personnel include Harvey B. Allon, Garrett Tripp, and Toby Giordano, who hold relevant educational backgrounds and professional designations such as the Chartered Financial Analyst (CFA) designation. Harvey B. Allon serves as the Managing Founding Member and CEO, while Garrett Tripp and Toby Giordano are Senior Portfolio Managers at Braddock Financial.