BROADFIN CAPITAL, LLC

HTTP://WWW.BROADFIN.COM NEW YORK, NY Investment Advisor Hedge Fund How do I update this listing?

Broadfin Capital is based out of New York. Broadfin Capital is a hedge fund with discretionary assets under management (AUM) of $0 (Form ADV from 2021-01-21). Whalewisdom has at least 42 13F filings, 40 13D filings, 319 13G filings, and 3 Form 4 filings

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12/31/2020

Top Buys

  • Name% Change

12/31/2020

Top Sells

  • Name% Change

12/31/2020

13F Holdings Summary

No holdings for current quarter

12/31/2019

13F Activity

  • Market Value $746.813 Million
  • Prior Market Value $540.905 Million
  • New Purchases12 stocks
  • Additional Purchases11 stocks
  • Sold out of16 stocks
  • Reduced holdings in13 stocks
  • Top 10 Holdings % 63.69 %
  • Turnover % [1]:70.00%
  • Turnover Alt % [2]: 40.84 %
  • Time Held Top20:1.80 quarters
  • Time Held Top10:1.00 quarters
  • Time Held All:6.33 quarters

[1]: Turnover is calculated by taking the # of new holdings (initial purchases) + the # of positions sold out of (not just reduced) divided by the total # of holdings for the quarter.

[2]: Alt Turnover is calculated by taking either the total MV of new purchases or the MV of securities sold, whichever is less, divided by the total MV of the fund.

12/31/2019

13F Sector Allocation Over Time

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2020-02-14

Performance for Q4 2019: 6.33%
Performance Last 4 Quarters: 20.86%
Performance Metrics
Stats are not available for the latest quarter

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13F Managers

Subsidiaries/Managers included in latest 13F
Name
Broadfin Healthcare Master Fund Ltd

View Last Form Adv Compilation Report on Record

BROADFIN CAPITAL, LLC
Classified as Hedge Fund
200 BROADHOLLOW RD SUITE 207
MELVILLE NY    11747
Country: United States

Business Phone: 212-808-2460
Fax:
Professional Investment Advisor Data
SEC Registration as :
Form of Organization: Limited Liability Company
Organized in: DE
Number of employees:
Other Business Activities:
Advisor Fees/Compensation:
Amount of client funds and securities:
Total Number of Clients: 0
Amount of client funds and securities by related persons:
Total Number of clients from related persons:
Disclosures:
Data above was derived from SEC filings.

Active Schedule 13D and 13G events

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Insider Transactions in the past year

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BROADFIN CAPITAL, LLC

ownership team - last updated 2020-03-19
Name Title Start Date Direct/Indirect % Ownership

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
BROADFIN HEALTHCARE MASTER FUND, LTD. Cayman Islands 805-3367859065 Hedge Fund 739,518,626 1,000,000 Master Fund

BROADFIN CAPITAL, LLC

ownership team - last updated 2019-03-29
Name Title Start Date Direct/Indirect % Ownership
KOTLER, KEVIN MANAGING MEMBER 08/01/2005 Direct 75% or more
Fund Name Position direct/indirect start date end date
BROADFIN CAPITAL, LLC MANAGING MEMBER / CCO direct 2005-08-01
BROADFIN CAPITAL, LLC MANAGING MEMBER direct 2005-08-01
MESSAFI, NIR CHIEF FINANCIAL OFFICER, CHIEF COMPLIANCE OFFICER 04/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
BROADFIN CAPITAL, LLC CHIEF FINANCIAL OFFICER, CHIEF COMPLIANCE OFFICER direct 2016-04-01
FORTRESS ASIA MACRO ADVISORS LLC CHIEF FINANCIAL OFFICER direct 2014-01-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
BROADFIN HEALTHCARE MASTER FUND, LTD. Cayman Islands 805-3367859065 Hedge Fund 645,384,755 1,000,000 Master Fund

BROADFIN CAPITAL, LLC

ownership team - last updated 2017-03-31
Name Title Start Date Direct/Indirect % Ownership
KOTLER, KEVIN MANAGING MEMBER 08/01/2005 Direct 75% or more
Fund Name Position direct/indirect start date end date
BROADFIN CAPITAL, LLC MANAGING MEMBER / CCO direct 2005-08-01
BROADFIN CAPITAL, LLC MANAGING MEMBER direct 2005-08-01
MESSAFI, NIR CHIEF FINANCIAL OFFICER, CHIEF COMPLIANCE OFFICER 04/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
BROADFIN CAPITAL, LLC CHIEF FINANCIAL OFFICER, CHIEF COMPLIANCE OFFICER direct 2016-04-01
FORTRESS ASIA MACRO ADVISORS LLC CHIEF FINANCIAL OFFICER direct 2014-01-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
BROADFIN HEALTHCARE MASTER FUND, LTD. Cayman Islands 805-3367859065 Hedge Fund 1,282,419,313 1,000,000 Master Fund

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