Data / Investment advisers / Vermont / Broadlake Financial Management
Broadlake Financial Management, South Burlington, VT: $410 million AUM, SEC registered investment adviser
Updated November 7, 2026. Source: the SEC's Form ADV data files for investment advisers.
Broadlake Financial Management is an SEC registered investment adviser with its main office in South Burlington, Vermont and reports $410 million in regulatory assets under management in its Form ADV filed March 31, 2026. Its clients include high net worth individuals, individuals and charitable organizations. It is paid through a percentage of assets under management.
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- Registration
- SEC registered investment adviser
- CRD number
- 105057
- SEC file number
- 801-34761
- SEC status
- Approved, effective July 6, 1989
- Legal name
- Eley Financial Management, Inc.
- Main office
- 99 Swift Street Suite 305, South Burlington, VT 05403
- Phone
- (802) 863-4463
- Website
- broadlakefinancial.com
- Regulatory AUM
- $409,558,720 in the Form ADV filed March 31, 2026
- Discretionary AUM
- $409,558,720
- Accounts
- 1,166
- Employees
- 5, of which 4 give investment advice
- Form of organization
- Corporation
- Paid through
- a percentage of assets under management
- Form ADV Item 11 disclosures
- None reported
- Latest Form ADV filing
- March 31, 2026
- SEC record
- Investment Adviser Public Disclosure
Clients
Client types the adviser reports in Form ADV item 5.D, with the AUM it attributes to each.
| Client type | Clients | AUM |
|---|---|---|
| High net worth individuals | 95 | $290.5 million |
| Individuals (other than high net worth individuals) | 356 | $101.2 million |
| Charitable organizations | 10 | $12.6 million |
| Pension and profit sharing plans | 2 | $5.3 million |
AUM in the SEC's monthly files
Each change in the AUM the adviser reported across the monthly SEC files held here, with the first file that shows the new value.
| First in the file of | AUM | Form ADV filed |
|---|---|---|
| April 1, 2026 | $409.6 million | March 31, 2026 |
| December 1, 2025 | $369 million | March 24, 2025 |
Other advisers in Vermont
| Adviser | City | AUM | Private funds | Source |
|---|---|---|---|---|
| Rock Point Advisors, LLC | Burlington | $655.7 million | Not listed | adviserinfo.sec.gov |
| Marble Trail Advisors | Middlebury | $582.7 million | Not listed | adviserinfo.sec.gov |
| Clean Yield Asset Management | Norwich | $571.2 million | Not listed | adviserinfo.sec.gov |
| M. Kraus & Company | Shelburne | $559.3 million | Not listed | adviserinfo.sec.gov |
| Prentiss Smith & Company, Inc. | Brattleboro | $453.1 million | Not listed | adviserinfo.sec.gov |
| Antoine Williams & Associates Wealth Management, LLC | Shelburne | $318.9 million | Not listed | adviserinfo.sec.gov |
| Otto & Associates, Inc. | Norwich | $286.6 million | Not listed | adviserinfo.sec.gov |
| Bennington Financial Planning Group | Bennington | $281.5 million | Not listed | adviserinfo.sec.gov |
Also on SpecStream
- Investment advisers in Vermont
- Advisers with $100 million to $500 million in AUM
- Advisers serving high net worth individuals
- Advisers serving individuals
- Broadlake Financial Management on the SEC's adviser search
Public data published by the US Securities and Exchange Commission (US government work). Advisers report these values themselves in Form ADV, and neither the SEC nor the states approve or guarantee them. AUM is regulatory assets under management as the adviser reported it in Form ADV item 5.F, which can differ from the AUM a firm quotes elsewhere. Exempt reporting advisers do not report AUM. Office address, phone and website are the adviser's main office as filed; a firm that files its main office as a private residence shows no street address or phone. An Item 11 disclosure is a reported event, not a finding about the firm today. Details for each firm are on the SEC's Investment Adviser Public Disclosure site. This page uses SEC data and is not endorsed or certified by the SEC. Free to reuse with credit to SpecStream under CC BY 4.0. Spot a wrong value? Write to [email protected] with the link to this page.