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Broadlake Financial Management

Broadlake Financial Management. CRD 105057

Broadlake Financial Management logo

CRD: 105057

Broadlake Financial Management

South Burlington, VT, 05403
8028634463
$409.6M Total AUM
$409.6M Disc. AUM
12.8% 3Y CAGR
5 Employees
463 ADV. Clients
36 yrs Firm Age

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Firm Details

Custodian
Charles Schwab & Company ยท Fidelity/NFS
Clients
Retail and Institutional
Platforms
Momentum catalyst
Established Date
07-06-1989
Office Locations
1

Office Locations

99 Swift ST Suite 305 S Burlington VT

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.

Team overview

40 AVG AGE
$102.4M AVG AUM / ADVISOR
$884.6K AVG AUM / CLIENT
22.6 yrs AVG TENURE
5 Employees
4 Advisory Reps
4 RIA Reps
36yrs Firm Age

Insights

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Asset Classes

Wave glacier Eagle radial

Custodian

Alpha quantum Harbor Value horizon Ember pioneer Foundation capital Glacier

Investment Themes

Beacon focus Horizon legacy

Investment Vehicles

Beacon alpha Vital insight

Services

Delta Zenith Glacier meridian Catalyst Ember optima Vertex element Quantum quantum Optima bridge Delta

Technology

Foundation meridian

Owner & Executives

JOSEPH MATTHEW DIEBOLD

JOSEPH MATTHEW DIEBOLD

Certified Financial Planner, INVESTMENT COMMITTEE MEMBER, PORTFOLIO MANAGER, President

CRD
#2541809
Ownership
50% but less than 75%
(878) 534-9606
harbor.signal@frontiercapital.com
in linkedin.com/in/fusion-peak
MATTHEW AMES MALANEY

MATTHEW AMES MALANEY

INVESTMENT COMMITTEE MEMBER, PORTFOLIO MANAGER, Secretary, Vice President

CRD
#2088303
Ownership
50% but less than 75%
(861) 575-2856
vertex.peak@primecapital.com
in linkedin.com/in/frontier-value
L

Legacy harbor

Vertex vital foundation

CRD
#15493
Ownership
32.3%
(856) 751-2195
vector.zenith@vertexcapital.com
in linkedin.com/in/quantum-unison

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Contacts

JOSEPH SCOTT SMITHWICK

JOSEPH SCOTT SMITHWICK

Operations Manager

CRD
#5219257
(294) 984-7540
horizon.meridian@wavecapital.com
in linkedin.com/in/north-wave

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Assets Under Management

Total AUM
Discretionary
Non-Discretionary
03-30-2022
03-29-2023
04-01-2024
03-24-2025
03-31-2026
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

$409.6M Total SMA
Public Funds:
20.3%
Equity - Exchange:
5.9%
Cash:
15.3%
U.S. Government/Agency:
19.3%
Corporate - Investment Grade:
18.7%
Municipal Bonds:
20.5%
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

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