Investment adviser · CRD 150841
BREAKWATER INVESTMENT MANAGEMENT
Investment adviser filing (IA)
BREAKWATER INVESTMENT MANAGEMENT, LLC
SEATTLE, WA, United States · Form ADV filed Apr 15, 2026
- Regulatory AUM
- $303M Form ADV · Item 5.F
- Client accounts
- 572 Accounts, not individual clients
- Employees
- 4 Reported in this filing
- Advisory professionals
- 2 Investment advisory functions
Who they report serving
Form ADV · Item 5.DClient types and their share of reported regulatory assets.
| Client type | Clients | Regulatory assets | Share of AUM |
|---|---|---|---|
| High-net-worth individuals | 56 | $252,411,555 | 83.4% |
| Individuals | 96 | $49,760,717 | 16.4% |
| Charities | Fewer than 5 | $554,534 | 0.2% |
Filing source
Form ADV 2095265 · Apr 15, 2026 · Item 5.D
Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.
Private funds & service providers
0 Private fundsThe count excludes feeder funds. Funds in the latest filing appear first, ordered by reported gross assets. Earlier funds retain their last reported values.
This filing answers No to private funds.
Services & filing details
Most recent filing: Apr 15, 2026. View historical filings
Reported services
Financial planning · Individual portfolio management
Compensation
Percentage of assets · Hourly · Fixed
Principal office
2033 SIXTH AVENUE, #1010SEATTLE, WA, 98121, United States
CRD 150841
Filing source
Form ADV 2095265 · Apr 15, 2026 · Items 1 & 5
Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.