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 registered investment adviser run as an individually owned corporation and registered with the SEC since 1989. It charges clients on a percentage-of-AUM basis and serves both individual/family and institutional clients. The firm’s advisory offerings include financial planning, portfolio management for individuals and small businesses, portfolio management for businesses or institutions, and pension consulting. Broadlake is not positioned as a capital allocator and is not identified as an active ESG investor.
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 4
Joseph 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 38Active vs passive
$189M in ETFs
97%
$183M
1%
$6.1M
| ETF | Provider | Style | Category | Value | Shares | % of portfolio |
|---|---|---|---|---|---|---|
| ISHARES CORE S&P 500 ETF (IVV) | BlackRock | Passive | Large Blend | $31.5M | 42,102 | 16.64% |
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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