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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

BROADLAKE FINANCIAL MANAGEMENT

ELEY FINANCIAL MANAGEMENT, INC., CRD 105057

SOUTH BURLINGTON, VT

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:6b78e8bf-010c-dbaa-7025-e755d511687d

Data as of Mar 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:12 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 0
On other graphs: 0
Observed: Feb 22, 2012 to Mar 31, 2026
19 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: independent wealth managerderivedprivate_client_share=0.96 fund_share=0.0 institutional_share=0.04 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $410MItem 5.F on the latest filing (2026-03-31); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $410M
Private client RAUM: $392MderivedItem 5.D individuals plus high net worth individuals
Private client share: 96%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 4
RAUM per advisor: $102Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 5
Advisory employees: 4
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 1,166
Individual clients: 356
High net worth clients: 95
SEC number: 801-34761
CRD: 105057
Filings on the tape: 19
First filed: Feb 22, 2012
Latest filed: Mar 31, 2026
Organised: Corporation, VT
Website: broadlakefinancial.com

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
JOSEPH MATTHEW DIEBOLD	Certified Financial Planner	S BURLINGTON, VT	31	34	n/a	no
JOSEPH SCOTT SMITHWICK	n/a	SOUTH BURLINGTON, VT	19	22	n/a	no
MATTHEW AMES MALANEY	Chartered Financial Analyst	SOUTH BURLINGTON, VT	1	35	n/a	no
ANDREW DAVID MURPHY	n/a	SOUTH BURLINGTON, VT	1	21	n/a	no

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
DIEBOLD, JOSEPH, MATTHEW	PRESIDENT, PORTFOLIO MANAGER, INVESTMENT COMMITTEE MEMBER	D	yes	08/2001	Feb 22, 2012	Apr 1, 2024
MALANEY, MATTHEW, AMES	SECRETARY, PORTFOLIO MANAGER AND INVESTMENT COMMITTEE MEMBER	D	yes	05/2007	Feb 22, 2012	Apr 1, 2024
MURPHY, ANDREW, DAVID	CHIEF COMPLIANCE OFFICER	Na	no	08/2011	Feb 22, 2012	Apr 1, 2024

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 31, 2026	$410M	$410M	5	4	0	n/a	n/a
2024	Mar 24, 2025	$369M	$369M	4	4	0	n/a	n/a
2023	Mar 26, 2024	$323M	$323M	4	4	0	n/a	n/a
2022	Mar 29, 2023	$285M	$285M	4	4	0	n/a	n/a
2021	Mar 30, 2022	$319M	$319M	4	4	0	n/a	n/a
2020	Mar 23, 2021	$297M	$297M	4	4	0	n/a	n/a
2019	Mar 23, 2020	$260M	$260M	4	4	0	n/a	n/a
2018	Mar 26, 2019	$231M	$231M	4	4	0	n/a	n/a
2017	Mar 26, 2018	$223M	$223M	4	4	0	n/a	n/a
2016	Mar 29, 2017	$200M	$200M	4	3	n/a	n/a	n/a
2015	Mar 30, 2016	$190M	$190M	5	4	n/a	n/a	n/a
2014	Mar 16, 2015	$193M	$193M	5	4	n/a	n/a	n/a
2013	Mar 27, 2014	$178M	$178M	5	4	n/a	n/a	n/a
2012	Mar 19, 2013	$153M	$153M	5	4	n/a	n/a	n/a
2011	Feb 22, 2012	$145M	$144M	n/a	n/a	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$410M	$369M	11.0%	$285M	12.8%	5	4	0	0

Relationships

Registered with (5)

← MATTHEW AMES MALANEYAdvisorregistration: current employment
Jan 1, 2025 to presentfactForm ADV
← ANDREW DAVID MURPHYAdvisorregistration: current employment
Jan 1, 2025 to presentfactForm ADV
← JOSEPH SCOTT SMITHWICKAdvisorregistration: current employment
Nov 7, 2006 to presentfactForm ADV
← JOSEPH MATTHEW DIEBOLDAdvisorregistration: current employment
Nov 11, 1994 to presentfactForm ADV
← RENE ANN POCHOPAdvisorregistration: previous registration
Nov 11, 1994 to Sep 11, 2006factForm ADV

Controls (2)

← MALANEY, MATTHEW, AMESOwnerSECRETARY, PORTFOLIO MANAGER AND INVESTMENT COMMITTEE MEMBER, ownership code D, individual
Feb 22, 2012 to Apr 1, 2024factForm ADV
← DIEBOLD, JOSEPH, MATTHEWOwnerPRESIDENT, PORTFOLIO MANAGER, INVESTMENT COMMITTEE MEMBER, ownership code D, individual
Feb 22, 2012 to Apr 1, 2024factForm ADV

Owns (1)

← MURPHY, ANDREW, DAVIDOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Feb 22, 2012 to Apr 1, 2024factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6b78e8bf-010c-dbaa-7025-e755d511687d
First observed: Feb 22, 2012
Last observed: Mar 31, 2026 5 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

BROADLAKE FINANCIAL MANAGEMENT

ELEY FINANCIAL MANAGEMENT, INC., CRD 105057

SOUTH BURLINGTON, VT

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:6b78e8bf-010c-dbaa-7025-e755d511687d

Data as of Mar 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:12 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

JOSEPH MATTHEW DIEBOLD

Certified Financial Planner

S BURLINGTON, VT

n/a

JOSEPH SCOTT SMITHWICK

n/a

SOUTH BURLINGTON, VT

n/a

MATTHEW AMES MALANEY

Chartered Financial Analyst

SOUTH BURLINGTON, VT

n/a

ANDREW DAVID MURPHY

n/a

SOUTH BURLINGTON, VT

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

DIEBOLD, JOSEPH, MATTHEW

PRESIDENT, PORTFOLIO MANAGER, INVESTMENT COMMITTEE MEMBER

yes

08/2001

Feb 22, 2012

Apr 1, 2024

MALANEY, MATTHEW, AMES

SECRETARY, PORTFOLIO MANAGER AND INVESTMENT COMMITTEE MEMBER

yes

05/2007

Feb 22, 2012

Apr 1, 2024

MURPHY, ANDREW, DAVID

CHIEF COMPLIANCE OFFICER

08/2011

Feb 22, 2012

Apr 1, 2024

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 31, 2026

$410M

n/a

2024

Mar 24, 2025

$369M

n/a

2023

Mar 26, 2024

$323M

n/a

2022

Mar 29, 2023

$285M

n/a

2021

Mar 30, 2022

$319M

n/a

2020

Mar 23, 2021

$297M

n/a

2019

Mar 23, 2020

$260M

n/a

2018

Mar 26, 2019

$231M

n/a

2017

Mar 26, 2018

$223M

n/a

2016

Mar 29, 2017

$200M

n/a

2015

Mar 30, 2016

$190M

n/a

2014

Mar 16, 2015

$193M

n/a

2013

Mar 27, 2014

$178M

n/a

2012

Mar 19, 2013

$153M

n/a

2011

Feb 22, 2012

$145M

$144M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$410M

$369M

11.0%

$285M

12.8%