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Chief Compliance Officer · Broadlake Financial Management

Andrew D. Murphy

CRD 5120251 · Named on Form ADV at one SEC-registered adviser

At a glance

Broadlake Financial Management, an SEC-registered wealth manager based in South Burlington, VT with $410 million in regulatory assets, lists Andrew D. Murphy on its Form ADV as Chief Compliance Officer.

Firms and roles

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Andrew’s stakes and control

What Form ADV says they own at each firm, whether they control it, and how each firm is growing. Atlas members see all of it.

Ownership stake at the firm
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Control-person status
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When each role began
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Each firm’s assets and growth
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.

Colleagues named on the same filings

  • Joseph M. DieboldPresident, Portfolio Manager, Investment Committee Member, Broadlake Financial Management
  • Matthew A. MalaneySecretary, Portfolio Manager and Investment Committee Member, Broadlake Financial Management

Something wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For Andrew’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.