BROADLAKE FINANCIAL MANAGEMENT
Firm details
- Headquarters
- SOUTH BURLINGTON, Vermont
- CRD number
- 105057
- Registered since
- July 6, 1989
- Website
- broadlakefinancial.com
- Custodians
- NATIONAL FINANCIAL SERVICES LLC, CHARLES SCHWAB & CO., INC.
- Fee structure
- Percentage of AUM
- Client types
- HNWI70.92%
- Individuals24.7%
- Charitable Organizations3.09%
- Pension & Profit Sharing Plans1.29%
- Services
- Financial PlanningPortfolio Management for IndividualsPortfolio Management for Institutional ClientsPension Consulting
Firm profile
FINTRXOverview
Broadlake Financial Management is an independent, SEC‑registered advisory firm organized as a corporation and operating under individual ownership since its 1989 registration. The firm serves both individual and family clients as well as institutional clients, charging fees based on a percentage of assets under management. Its advisory services span financial planning, portfolio management for individuals and small businesses, portfolio management for businesses or institutions, and pension consulting. Broadlake does not identify as an active ESG investor and is not registered as a multi‑state adviser.
Assets & Accounts
Public Holdings
Investments & Alternatives
Investment profile
FINTRXTraditional investments used
Alternative investments used
Active ESG investor
Technology & operations
FINTRXCRM & tech providers
TAMPs used
Clients
FINTRXClient base
Client personas
Asset composition
- Public Funds/Mutual Funds63%
- Exchange Traded Equities29%
- US Government Bonds3%
- Cash & Cash Equivalents3%
- State & Local Bonds1%
Contacts
3 of 4JOSEPH SMITHWICK
Operations ManagerCRD 5219257
MATTHEW MALANEY
President and Co-OwnerCRD 2088303
ANDREW MURPHY
Portfolio ManagerCRD 5120251
Wealth teams
FINTRXNewly hired reps
FINTRXRecent M&A activity
FINTRXRecent filings
FINTRXAwards
FINTRXETF holdings
1 of 39Active vs passive
$169M in ETFs
97%
$164M
1%
$5.1M
| ETF | Provider | Style | Category | Value | Shares | % of portfolio |
|---|---|---|---|---|---|---|
| ISHARES CORE US AGGREGATE BOND ETF (AGG) | BlackRock | Passive | Intermediate Core Bond | $26.4M | 266,209 | 15.63% |
Location
SOUTH BURLINGTON, VT
CHITTENDEN
Location
SOUTH BURLINGTON, VT
Headquartered in SOUTH BURLINGTON, VT, anchoring the Burlington-South Burlington-Barre, VT metro in the Northeast.
- Metro area
- Burlington-South Burlington-Barre, VT
- Region
- Northeast
- County
- CHITTENDEN
- Address
- 99 Swift St
- Time zone
- ET (UTC-5)
- Office locations
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