Form D · Other Investment Fund

Breakwater Investments, LLC

Oxford, MS · CIK 0001797843

Offering snapshot reported Jan 7, 2020 · SEC filing

Reported sold
$13M
Offering amount: $25M
Investors reported
60
Form D · investor count
Minimum accepted
$0
Reported outside-investor minimum
First sale
Dec 27, 2019
As reported in this filing

What changed?

Latest filing versus its linked predecessor, where available.

No comparable changes in the displayed metrics.

Filing history

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FiledFiling typeReported soldChange vs linked filingInvestorsSource
Jan 7, 2020Initial$13,014,625No comparison60SEC filing

Offering details

Securities
Pooled investment fund
Exemptions
06c, 3C, 3C.1
Duration over one year
No
Business combination
No
Sales commissions
$240K
Finders' fees
$0
Form D file number
021-357386

Sales compensation recipients

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RecipientCRDAssociated broker-dealer
Patrick Capital Markets, LLC16518
Sequence Financial Specialists LLC132915
Green Vista Capital LLC293630
Saxony Securities, Inc.115547
Michael Rose2954324

Source: Form D, filed Jan 7, 2020. Minimum accepted may differ from a standard advertised minimum.

Fund connections

The linked fund shows its most recently reported ADV details.

Matched by reported Form D file number

BREAKWATER INVESTMENTS, LLC

Investment adviser: ADDICUS ADVISORY, LLC

Gross asset value
$871K
Beneficial owners
60
ADV minimum commitment
$50K

Reported in Form ADV on Jun 30, 2026. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Auditor WINDHAM BRANNON, LLC ATLANTA, Georgia, United States
Marketer K-R GROUP INDEPENDENCE, Missouri, United States Related to adviser: No
Provider details
Annual audit
Yes
Prime brokers
No
Custodians
No
Administrator other than the adviser
No
External marketing
Yes

WINDHAM BRANNON, LLC
PCAOB 617

Filing source

Form ADV 2107192 · Jun 30, 2026 · Schedule D 7.B.(1), fund 805-9684649523

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

People & organizations

Current and past Form D appearances. These existing records do not establish a person's current role or uniquely identify them across issuers.

People and organizations reported in Form D filings
NameReported role
Andrew Adams Executive
Fenton Flats Manager, Llc Director
Miles Stephen Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
128 A Courthouse Square
Oxford, MS, 38655