Broadlake Financial Management is a registered investment advisor located in South Burlington, Vermont, originally founded in 1989 and currently owned by Joseph M Diebold and Matthew A Malaney. The firm specializes in discretionary asset management, meaning the team makes day-to-day investment decisions on behalf of clients based on individual risk tolerance, time horizons, liquidity needs, and return objectives. Broadlake Financial Management invests across a wide range of securities, including stocks, bonds, mutual funds, exchange-traded funds, and real estate investment trusts, utilizing fundamental, macro-economic, and technical analysis. In addition to managing individual and corporate accounts, the firm acts as an advisor to employer-sponsored retirement plans such as 401(k) plans, providing investor education and selecting plan investment options. Personal financial planning sessions are also offered to advisory clients as a free, instructional service. Client assets are held by independent third-party custodians like Fidelity Investments and Charles Schwab.
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.