Eley Financial Management provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, and pension consulting. Financial planning was provided to 51–100 clients last fiscal year.
Eley Financial Management reports 463 clients. They include 356 individual clients, 95 high-net-worth individuals and 10 charitable organizations. Of its assets, 100.0% ($410M across 1,166 accounts) are managed with discretion.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 77% | 25% |
| High-net-worth individuals | 21% | 71% |
| Pension and profit-sharing plans | <1% | 1% |
| Charitable organizations | 2% | 3% |
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 356 | $101M | 24.7% | $284K |
| High-net-worth individuals | 95 | $290M | 70.9% | $3.06M |
| Pension and profit-sharing plans | Fewer than 5 | $5.3M | 1.3% | $2.65M |
| Charitable organizations | 10 | $12.6M | 3.1% | $1.26M |
| Total | 463 | $410M | 100% | — |
- Clients
- 356
- Regulatory AUM
- $101M
- AUM share
- 24.7%
- Avg. per client
- $284K
- Clients
- 95
- Regulatory AUM
- $290M
- AUM share
- 70.9%
- Avg. per client
- $3.06M
- Clients
- Fewer than 5
- Regulatory AUM
- $5.3M
- AUM share
- 1.3%
- Avg. per client
- $2.65M
- Clients
- 10
- Regulatory AUM
- $12.6M
- AUM share
- 3.1%
- Avg. per client
- $1.26M
Total
- Clients
- 463
- Regulatory AUM
- $410M
- AUM share
- 100%
- Avg. per client
- —
- Clients outside the U.S.
- 0%
- Clients advised without assets under management last fiscal year
- 0
- Private funds advised
- 0
- Financial planning clients last fiscal year
- 51–100
Eley Financial Management charges 0.70%–1.00% for its Adviser Compensation. The brochure does not state whether the rate is annual. The fee is billed in advance, is negotiable and requires an account of at least $50,000.
Fee details and sources
Joseph Diebold owns 50% to 75% of Eley Financial Management. The leadership team of Eley Financial Management includes President Joseph Diebold and Chief Compliance Officer Andrew Murphy. It has 5 employees, 4 of them in advisory roles.
Leadership
Joseph DieboldPresident, Portfolio Manager, Investment Committee Member
Andrew MurphyChief Compliance Officer
Matthew MalaneySecretary, Portfolio Manager and Investment Committee Member
Investment adviser representatives
4 representatives listed in the SEC register as of 9 October 2026.
Staff
- 5 employees
- 4 in advisory functions
- 4 state-registered reps
- Owns 50% to 75% of Eley Financial Management, Inc.
Joseph Diebold
Control person · since August 2001
- Owns 50% to 75% of Eley Financial Management, Inc.
Matthew Malaney
Control person · since May 2007
Eley Financial Management’s regulatory assets grew from $297M (March 2021) to $410M (March 2026); clients fell from 522 to 463 and employees rose from 4 to 5.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | Employees | Offices |
|---|---|---|---|---|
| March 2026 | $410M | 463 | 5 | 1 |
| March 2025 | $369M | 471 | 4 | 1 |
| April 2024 | $323M | 483 | 4 | 1 |
| March 2023 | $285M | 497 | 4 | 1 |
| March 2022 | $319M | 585 | 4 | 1 |
| March 2021 | $297M | 522 | 4 | 1 |
Besides its headquarters, Eley Financial Management has 0 offices, with 1 listed address in Vermont.
Vermont · 1 listed address
- 99 Swift Street, Suite 305, South BurlingtonHQ
Other business names
Eley Financial Management has reported 1 other business name to the SEC.
- Broadlake Financial Management
Contact and registration details
- Legal name
- Eley Financial Management, Inc.
- Headquarters
- 99 Swift Street, Suite 305, South Burlington, VT 05403-7360
- Website
- broadlakefinancial.com
- Phone
- 802-863-4463
- SEC file
- 801-34761
- Founded
- 1989
- Structure
- Vermont corporation
- Fiscal year end
- December
Eley Financial Management uses Fidelity ($352M, 86%) and Charles Schwab ($57.3M, 14%) as custodians for its separately managed accounts. Eley Financial Management does not have custody of client assets.
- FidelityNational Financial Services LLC · Boston, MA · $352M86%
- Charles SchwabCharles Schwab & Co., Inc. · Westlake, TX · $57.3M14%
At year end, Eley Financial Management’s separately managed accounts were mostly in funds (63%) and stocks (29%). Its reported 13F holdings for the quarter ended 30 June 2026 total $309M across 72 positions; the largest are Isharestr (10.2%), Isharestr (9.9%) and Isharestr (6.7%).
What the accounts hold
- Stocks29%
- Funds63%
- Bonds5%
- U.S. government and agency bonds3%
- State and local bonds1%
- Investment grade corporate bonds1%
- Cash3%
Reported 13F holdings
- $309M
- Reported 13F value
- 72
- Positions
- 48.3%
- In the 10 largest
- +11.5%
- Value vs. prior quarter
- Isharestr · Cores&p500etf10.2%
- Isharestr · Coreusaggbdet9.9%
- Isharestr · Cores&pmcpetf6.7%
- Isharestr · 37yrtreasbd4.0%
- Isharestr · 10+yrinvstgrd3.9%
- Applecomputerinc2.9%
- Isharestr · 13yrtreasbd2.8%
- Nvidiacorp2.8%
- Cumminsinc2.7%
- Isharesinc · Msciemrgchn2.5%
Together, the ten largest are 48.3% of reported value.
How many clients does Eley Financial Management have?
Eley Financial Management has 463 clients and manages $410 million for them, as of March 2026. They include 356 individual clients, 95 high-net-worth individuals and 10 charitable organizations.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 31 March 2026
What services does Eley Financial Management offer?
Eley Financial Management provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, and pension consulting.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file
How much does Eley Financial Management charge?
Eley Financial Management charges 0.70%–1.00% for its Adviser Compensation. The brochure does not state whether the rate is annual. The fee is billed in advance, is negotiable and requires an account of at least $50,000.
Source: BROADLAKE FINANCIAL MANAGEMENT FIRM DISCLOSURE BROCHURE, filed 31 March 2026
Which custodians does Eley Financial Management use?
Eley Financial Management’s separately managed account assets are held at National Financial Services LLC (Boston, MA), with $352M and Charles Schwab & Co., Inc. (Westlake, TX), with $57.3M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 31 March 2026
How many financial advisors does Eley Financial Management have?
Eley Financial Management has 4 investment adviser representatives registered with state securities authorities, out of 5 employees, and 4 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.
Source: Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file
What does Eley Financial Management invest in?
At the end of its last fiscal year, Eley Financial Management’s separately managed accounts held 63% registered funds (mutual funds, ETFs, BDCs), 29% exchange-traded equities, 3% U.S. government and agency bonds, 3% cash and equivalents, 1% state and local bonds and 1% investment grade corporate bonds.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Does Eley Financial Management have a minimum investment?
Yes, Eley Financial Management’s minimum account size for its Adviser Compensation is $50K.
Source: BROADLAKE FINANCIAL MANAGEMENT FIRM DISCLOSURE BROCHURE, filed 31 March 2026
Who owns Eley Financial Management?
Eley Financial Management’s direct owners are Joseph Diebold (50% to 75%) and Matthew Malaney (50% to 75%).
Source: Form ADV Part 1A, Schedules A and B, filed 31 March 2026
How does Eley Financial Management get paid?
Eley Financial Management is paid through a percentage of assets under management. Its Form ADV lists no commissions or performance-based fees among how it is paid.
Source: Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file
How do I contact Eley Financial Management?
Eley Financial Management’s main office is at 99 Swift Street, Suite 305, South Burlington, VT 05403-7360. Its phone number is 802-863-4463. Its website is broadlakefinancial.com.