BROADLAKE FINANCIAL MANAGEMENT

Advisory Business

Type of Organization	Corporation
Fiscal Year End	DECEMBER
Legal Location	Vermont, United States

Employees

Total Number of Employees	4
Investment Advisory/Research	4
Registered Broker-Dealer Representatives	0
Registered State Investment Advisers	4
Licensed Agents of an Insurance Company	0
No. of Firms/People that Solicit Clients	0

RAUM

Provides Management of Securities Portfolios	Yes

Type	Accounts	RAUM
Discretionary	1,178	$322.5M
Non-Discretionary	0	$0
Total	1,178	$322.5M

Clients

Type	Number	RAUM
Individuals	391	$96.9M
HNW Individuals	78	$209.0M
Banking or thrift institutions	0	$0
Investment companies	0	$0
Business development companies	0	$0
Pooled investment vehicles	0	$0
Pension and profit sharing plans	<5	$5.3M
Charitable organizations	12	$11.3M
State or municipal gov entities	0	$0
Other investment advisers	0	$0
Insurance companies	0	$0
Sovereign wealth funds and foreign official institutions	0	$0
Corporations or other businesses	0	$0
Other	0	$0

Type	Number
No. of Non-RAUM Clients	0
No. of Non-U.S. Clients	0
No. of Financial Planning Clients	51-100

Services

Advisory Services	Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting services
Compensation	% of AUM

Identifiers

SEC RIA File Number	801-34761
SEC ERA File Number	801-34761
SEC CIK Numbers	1965267
SEC CRD Numbers	105057
Legal Entity Identifier	None

Principal Office

99 SWIFT STREET
SUITE 305
SOUTH BURLINGTON
VT
United States

Websites

Chief Compliance Officer

No. Employees, Historic

RAUM, Historic

No. Clients, Historic