BREAKWALL INVESTMENT ADVISOR, LLC
Adviser information for BREAKWALL INVESTMENT ADVISOR, LLC last updated from Form ADV on March 28th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 7 |
|---|---|
| Investment Advisory/Research | 7 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| 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 | 0 | $0 |
| Non-Discretionary | 9 | $1.8B |
| Total | 9 | $1.8B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 9 | $1.8B |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| 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 |
Services
| Advisory Services | Portfolio management for pooled investment vehicles |
|---|---|
| Compensation | % of AUMPerformance-based fees |
Identifiers
| SEC RIA File Number | 801-129195 |
|---|---|
| SEC ERA File Number | 801-129195 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 328990 |
| Legal Entity Identifier | None |
Principal Office
174 BELLEVUE AVENUESUITE 200-A
NEWPORT
RI
United States
Monday - Friday, 9AM-5PM
Tel: 917-690-0000, Fax: None
Chief Compliance Officer
CHRISTOPHER ABBATE
MANAGING PARTNER
174 BELLEVUE AVENUE
SUITE 200-A
NEWPORT
RI
United States
Tel:
917-690-0000
C******@***************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| VALOR UPSTREAM CREDIT PARTNERS, L.P. | PRIVATE CREDIT | $505.1M | $0.0M | 2 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| ABBATE, CHRISTOPHER, ANTHONY | Individual | – | MANAGING PARTNER AND CHIEF COMPLIANCE OFFICER | 11/2023 | < 5% |
| FLANNERY, DANIEL, PATRICK | Individual | – | MANAGING PARTNER | 11/2023 | < 5% |
| BRODSKY, JAMIE, MARC | Individual | – | MANAGING PARTNER | 11/2023 | < 5% |
| BREAKWALL FEE PARTNERSHIP LP | Domestic Entity | – | OWNER | 11/2023 | > 75% |
| ABBATE, CHRISTOPHER, ANTHONY | Individual | BREAKWALL CAPITAL LP | MANAGING PARTNER AND CHIEF COMPLIANCE OFFICER | 11/2023 | 25-50% |
| FLANNERY, DANIEL, PATRICK | Individual | BREAKWALL CAPITAL LP | MANAGING PARTNER | 11/2023 | 25-50% |
| BRODSKY, JAMIE, MARC | Individual | BREAKWALL CAPITAL LP | MANAGING PARTNER | 11/2023 | 25-50% |
| BREAKWALL CAPITAL LP | Domestic Entity | BREAKWALL FEE PARTNERSHIP LP | OWNER | 02/2024 | > 75% |