Joseph Smithwick
Joseph Smithwick is a registered investment advisor at Broadlake Financial Management, based in South Burlington, VT, with 19 years of industry experience. Joseph operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Investment Management, Retirement Planning, Socially Responsible Investing. Their firm serves 463 clients with $410M in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $500K | 1.00% |
| $500K - $1.0M | 0.90% |
| $1.0M - $1.5M | 0.80% |
| $1.5M - $2.0M | 0.75% |
| $2.0M - $3.0M | 0.70% |
| $3M+ | 0.70% |
Fees are negotiable for accounts above $3,000,000. Non-profit organizations pay 90% of the normal fee schedule.
Fee Estimator
Location
99 Swift Street, Suite 305, South Burlington, VT, 05403-7360
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
Broadlake Financial Management
State Registrations1 state
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
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