Joseph Smithwick
Broadlake Financial Management · South Burlington, Vermont
Joseph Smithwick is a fee-only financial advisor at Broadlake Financial Management in South Burlington, Vermont. Joseph focuses on sustainable & impact investing. Broadlake Financial Management reports charging a percentage of assets on its Form ADV.
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Specialties
Facts
| Firm | Broadlake Financial Management |
|---|---|
| Based in | South Burlington, Vermont |
| Fee model (firm's Form ADV) | Percentage of assets |
| Assets under management | $409.6M across 1,166 accounts |
| SEC registration | Investment adviser representative in VT · CRD 5219257 |
| Exams passed | Series 65 (2006) |
| Firm size | 5 employees |
| Disclosures | None reported |
| Website | broadlakefinancial.com |
How Joseph's firm compares
- Broadlake Financial Management's average account is about $351,000, from its Form ADV (assets managed divided by 1,166 accounts).
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Questions about Joseph
Is Joseph Smithwick a fee-only financial advisor?
Yes, according to SEC records as of October 29, 2026: Joseph holds no broker registration, and Broadlake Financial Management reports no commissions, no broker-dealer, and no insurance sales or affiliated insurance agency on its Form ADV.
How does Joseph charge for financial advice?
Joseph's firm, Broadlake Financial Management, reports charging a percentage of assets on its SEC Form ADV.
Where is Joseph Smithwick based?
Joseph Smithwick is based in South Burlington, Vermont.
What does Joseph specialize in?
Joseph's specialties include sustainable & impact investing.
Is Joseph Smithwick registered with the SEC?
Yes. Joseph Smithwick is registered as an investment adviser representative in VT (CRD 5219257), per SEC Investment Adviser Public Disclosure data as of October 29, 2026.
How much does Broadlake Financial Management manage?
Broadlake Financial Management reports $409.6M across 1,166 accounts in assets under management.
How do I contact Joseph Smithwick?
Through Joseph's website, broadlakefinancial.com.
What these terms mean: fee-only · fiduciary · CFP · CRD number · all terms
Where this information comes from
- SEC adviser records : the firm's Form ADV reports no commissions, no broker-dealer, and no insurance sales or affiliated insurance agency, and the advisor holds no broker registration
- Broadlake Financial Management website : specialties, clients served, and fees, checked October 30, 2026
- SEC Investment Adviser Public Disclosure : registration, exams, and the firm's Form ADV, data as of October 29, 2026
- Directory listing last checked October 30, 2026.
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