BREAKWATER INVESTMENT MANAGEMENT
BREAKWATER INVESTMENT MANAGEMENT, LLC Legal Name
Adviser information for BREAKWATER INVESTMENT MANAGEMENT last updated from Form ADV on January 18th, 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 | Washington, United States |
Employees
| Total Number of Employees | 3 |
|---|---|
| Investment Advisory/Research | 1 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 1 |
| 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 | 570 | $234.2M |
| Non-Discretionary | 0 | $0 |
| Total | 570 | $234.2M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 134 | $27.5M |
| HNW Individuals | 88 | $205.6M |
| Banking or thrift institutions | <5 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | <5 | $0 |
| Charitable organizations | 6 | $1.1M |
| State or municipal gov entities | <5 | $0 |
| Other investment advisers | <5 | $0 |
| Insurance companies | <5 | $0 |
| Sovereign wealth funds and foreign official institutions | <5 | $0 |
| Corporations or other businesses | <5 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 26-50 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesCORPORATE TRUSTEE SERVICES |
|---|---|
| Compensation | % of AUMHourly charges |
Identifiers
| SEC RIA File Number | 801-79040 |
|---|---|
| SEC ERA File Number | 801-79040 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 150841 |
| Legal Entity Identifier | None |
Principal Office
2033 SIXTH AVENUE#1010
SEATTLE
WA
United States
BY APPOINTMENT, BY APPOINTMENT
Tel: 206.621.8832, Fax: None
Websites
Chief Compliance Officer
BETHANY STEINHAUS
FINANCIAL ADVISOR
2033 SIXTH AVENUE
#1010
SEATTLE
WA
United States
Tel:
2066218832
B***@*************M
(Full email address available in API data)
Regulatory Contact
JOHN T. CARR
OUTSIDE COUNSEL
5285 MEADOWS RD
SUITE 199
LAKE OSWEGO
OR
United States
Tel:
(503) 635-5244
Fax:
(503) 635-2955
J****@******************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| STEINHAUS, BETHANY, ANNE | Individual | – | MANAGING MEMBER, CHIEF COMPLIANCE OFFICER | 09/2021 | > 75% |