CRD: 105057
Broadlake Financial Management
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- Custodian
- Charles Schwab & Company ยท Fidelity/NFS
- Clients
- Retail and Institutional
- Platforms
- Momentum catalyst
- Established Date
- 07-06-1989
- Office Locations
- 1
Office Locations
About Broadlake Financial Management
Broadlake Financial Management is an independent, SEC-registered, fee-only RIA founded in 1989. The firm provides personalized investment management and planning for individuals, corporations, and nonprofits, emphasizing transparent, commission-free advice and a cost-conscious structure. Portfolios commonly use public funds and ETFs, and the team is directly accessible from its South Burlington, VT office, with relationships at Schwab and Fidelity.
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Owner & Executives
JOSEPH MATTHEW DIEBOLD
Certified Financial Planner, INVESTMENT COMMITTEE MEMBER, PORTFOLIO MANAGER, President
- CRD
- #2541809
- Ownership
- 50% but less than 75%
MATTHEW AMES MALANEY
INVESTMENT COMMITTEE MEMBER, PORTFOLIO MANAGER, Secretary, Vice President
- CRD
- #2088303
- Ownership
- 50% but less than 75%
Legacy harbor
Vertex vital foundation
- CRD
- #15493
- Ownership
- 32.3%
Showing 2 of 3 owners & executives
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JOSEPH SCOTT SMITHWICK
Operations Manager
- CRD
- #5219257
Showing 1 of 4 contacts
Unlock allAssets Under Management
| Category | Assets | AVG. Account size |
|---|---|---|
| Discretionary | $409,558,720 | $351,251 |
| Non-Discretionary | $0 | -- |
| Total | $409,558,720 | $351,251 |
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Separately Managed Accounts
Total SMA Asset: $409,558,720
| Asset class | Assets | Assets % |
|---|---|---|
| Public Funds | $1,551,238,021 | 20.3% |
| Equity - Exchange | $450,852,430 | 5.9% |
| Cash | $1,169,159,691 | 15.3% |
| U.S. Government/Agency | $1,474,822,355 | 19.3% |
| Corporate - Investment Grade | $1,428,972,955 | 18.7% |
| Municipal Bonds | $1,566,521,153 | 20.5% |
| Total | $7,641,566,605 | 100.0% |
13F Holdings | Q1 2026
| Issuer | Class | Cusip | Ticker | % | Value |
|---|---|---|---|---|---|
| PEAK VITAL QUANTUM | HARBOR CAPITAL | BLAZM5XME | WBDGT | 4.19% | $36,805,851 |
| VITAL HORIZON PATHWAY | SIGNAL WAVE | 5MV3HG4CZ | TUJZ | 3.15% | $107,990,027 |
| INSIGHT EMBER PIONEER | VITAL ELEMENT | F8I6KT7LR | VQJYQ | 3.75% | $43,684,211 |
| HARBOR BRIDGE | PIONEER PIONEER | 3ALXC8WIQ | QHC | 10.63% | $103,091,529 |
| MOMENTUM CATALYST QUANTUM | PEAK SIGNAL | SUPNCAV6S | CKI | 7.80% | $54,993,820 |
| VERTEX HARBOR | HORIZON SIGNAL | LQE9H546Z | KZSEM | 7.30% | $15,649,836 |
| BRIDGE TIMBER LEGACY | PIONEER VITAL | YNH98M48O | ITYI | 6.22% | $103,528,563 |
| VECTOR PEAK | VERTEX NORTH | FEROWU0NB | EJNNF | 12.45% | $77,928,588 |