DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Broadlake Financial Management
Legal name Eley Financial Management, Inc.
Latest filing Mar 31, 2026
First filing on the tape Feb 22, 2012 · 19 filings
SEC status approved since Jul 6, 1989
RAUM
$410M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
96%
$392M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$102M
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$410M as of Mar 31, 2026
Feb 22, 2012$145M then
HNW client RAUM$290M as of Mar 31, 2026
Mar 26, 2018$112M then
State-registered IARs (5.B.3)4 as of Mar 31, 2026
Feb 22, 20120 then
Employees (5.A)5 as of Mar 31, 2026
Mar 19, 20135 then
Private funds: no history
RAUM +11% over the last fiscal year+13% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $102MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 113derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.1MderivedHNW RAUM over HNW clients
- Average account
- $351,251derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 4.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -1.5%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$290M71%
- Individuals$101M25%
- Charitable organizations$12.6M3.1%
- Pension and profit-sharing plans$5.3M1.3%
- Individual clients
- 356reported
- HNW clients
- 95reported
- Pension plan clients
- 2reported
- Charitable clients
- 10reported
- Accounts
- 1,166reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.04 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Joseph Matthew DieboldCertified Financial Planner | S Burlington, Vt | Nov 11, 1994 | 34 y | 0 |
| Joseph Scott Smithwick | South Burlington, Vt | Nov 7, 2006 | 22 y | 0 |
| Andrew David Murphy | South Burlington, Vt | Jan 1, 2025 | 21 y | 0 |
| Matthew Ames MalaneyChartered Financial Analyst | South Burlington, Vt | Jan 1, 2025 | 35 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- Rene Ann Pochop to Pochop Financial Management, Inc.Sep 11, 2006 · Other
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Matthew Joseph Diebold · President, Portfolio Manager, Investment Committee Membercontrolsince 08/2001 · owns 50% to 75%
- Ames Matthew Malaney · Secretary, Portfolio Manager And Investment Committee Membercontrolsince 05/2007 · owns 50% to 75%
- David Andrew Murphy · Chief Compliance Officersince 08/2011 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| South Burlington, Vt · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,157 to 1,166Mar 24, 2025 to Mar 31, 2026
- Charity clients · 11 to 10Mar 24, 2025 to Mar 31, 2026
- HNW clients · 94 to 95Mar 24, 2025 to Mar 31, 2026
- Individual clients · 364 to 356Mar 24, 2025 to Mar 31, 2026
- Employees · 4 to 5Mar 24, 2025 to Mar 31, 2026
- Discretionary RAUM · $369M to $410MMar 24, 2025 to Mar 31, 2026
- HNW RAUM · $262M to $290MMar 24, 2025 to Mar 31, 2026
- Individual RAUM · $90.8M to $101MMar 24, 2025 to Mar 31, 2026
- Pension RAUM · $4.6M to $5.3MMar 24, 2025 to Mar 31, 2026
- RAUM · $369M to $410MMar 24, 2025 to Mar 31, 2026
- Accounts · 1,178 to 1,157Apr 1, 2024 to Mar 24, 2025
- Charity clients · 12 to 11Apr 1, 2024 to Mar 24, 2025
- HNW clients · 78 to 94Apr 1, 2024 to Mar 24, 2025
- Individual clients · 391 to 364Apr 1, 2024 to Mar 24, 2025
- Financial planning clients · 51-100 to 51-100Apr 1, 2024 to Mar 24, 2025
- Discretionary RAUM · $323M to $369MApr 1, 2024 to Mar 24, 2025
- HNW RAUM · $209M to $262MApr 1, 2024 to Mar 24, 2025
- Individual RAUM · $96.9M to $90.8MApr 1, 2024 to Mar 24, 2025
- Pension RAUM · $5.3M to $4.6MApr 1, 2024 to Mar 24, 2025
- RAUM · $323M to $369MApr 1, 2024 to Mar 24, 2025
- Accounts · 1,223 to 1,178Mar 29, 2023 to Mar 26, 2024
- HNW clients · 69 to 78Mar 29, 2023 to Mar 26, 2024
- Individual clients · 414 to 391Mar 29, 2023 to Mar 26, 2024
- Discretionary RAUM · $285M to $323MMar 29, 2023 to Mar 26, 2024
- HNW RAUM · $175M to $209MMar 29, 2023 to Mar 26, 2024
- Individual RAUM · $95.3M to $96.9MMar 29, 2023 to Mar 26, 2024
- Pension RAUM · $4.6M to $5.3MMar 29, 2023 to Mar 26, 2024
- RAUM · $285M to $323MMar 29, 2023 to Mar 26, 2024
- Accounts · 1,258 to 1,223Mar 30, 2022 to Mar 29, 2023
- Charity clients · 13 to 12Mar 30, 2022 to Mar 29, 2023
- HNW clients · 86 to 69Mar 30, 2022 to Mar 29, 2023
- Individual clients · 484 to 414Mar 30, 2022 to Mar 29, 2023
- Financial planning clients · 0 to 51-100Mar 30, 2022 to Mar 29, 2023
- Discretionary RAUM · $319M to $285MMar 30, 2022 to Mar 29, 2023
- HNW RAUM · $212M to $175MMar 30, 2022 to Mar 29, 2023
- Individual RAUM · $90.3M to $95.3MMar 30, 2022 to Mar 29, 2023
- Pension RAUM · $4.9M to $4.6MMar 30, 2022 to Mar 29, 2023
- RAUM · $319M to $285MMar 30, 2022 to Mar 29, 2023
- Accounts · 1,272 to 1,258Mar 23, 2021 to Mar 30, 2022
- HNW clients · 76 to 86Mar 23, 2021 to Mar 30, 2022
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business email
- info@broadlakefinancial.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 802-863-4463reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 802-864-0949reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- broadlakefinancial.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 802-863-4463reportedpublic record, Form ADV, Mar 31, 2026
- Contact form
- broadlakefinancial.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- broadlakefinancial.com/our-teamreportedpublished by the firm, firm site, Sep 15, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $102Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026