Breakwater Capital Group
Firm details
- Headquarters
- Paramus, New Jersey
- CRD number
- 321097
- Registered since
- May 19, 2022
- Website
- breakwatercapitalgroup.com
- Custodians
- CHARLES SCHWAB & CO., INC.
- Fee structure
- Percentage of AUM, Hourly Charges, Fixed Fees
- Client types
- HNWI94.99%
- Individuals5.01%
- Services
- Financial PlanningPortfolio Management for IndividualsPortfolio Management for Institutional ClientsSelection of Other AdvisersEducational Seminars / Workshops
Firm profile
FINTRXOverview
Breakwater Capital Group is structured as a limited liability company and operates as an independent registered investment adviser. The firm is SEC-registered (registration year 2022) and positions itself as a capital allocator serving individual and family clients. Ownership is listed as a combination of a domestic entity and individual owners. Compensation is a mix of percentage-of-AUM fees and non-AUM fees (hourly and fixed-fee engagements), and the firm offers both financial planning and portfolio management services across individual, small business and institutional client types. Breakwater also provides selection-of-other-advisers services and runs educational seminars and workshops. The firm is not identified as an active ESG investor.
Assets & Accounts
Public Holdings
Investments & Alternatives
Location & Offices
Investment profile
FINTRXTraditional investments used
Alternative investments used
Active ESG investor
Technology & operations
FINTRXCRM & tech providers
TAMPs used
Clients
FINTRXClient base
Client personas
Asset composition
- Public Funds/Mutual Funds72%
- Exchange Traded Equities20%
- US Government Bonds2%
- Investment Grade Corp Bonds2%
- Other2%
Owners & executives
2 of 2
Thomas Mullen
Partner, Chief Operating OfficerCRD 4386056
Jeffrey Hanson
Chief Investment OfficerCRD 4388385
Contacts
2 of 2
Madeline Barconi
PartnerCRD 6571205
James Fonzi
TraderCRD 6918806
Wealth teams
FINTRXNewly hired reps
FINTRXRecent M&A activity
FINTRXRecent filings
FINTRXAwards
FINTRXETF holdings
1 of 236Active vs passive
$725M in ETFs
80%
$579M
18%
$146M
| ETF | Provider | Style | Category | Value | Shares | % of portfolio |
|---|---|---|---|---|---|---|
| JPMORGAN US QUALITY FACTOR ETF (JQUA) | JP Morgan | Passive | Large Blend | $33.4M | 452,494 | 4.61% |
Location
Paramus, NJ
Bergen
Location
Paramus, NJ
Headquartered in Paramus, NJ, anchoring the New York-Newark, NY-NJ-CT-PA metro in the Northeast.
- Metro area
- New York-Newark, NY-NJ-CT-PA
- Region
- Northeast
- County
- Bergen
- Address
- 140 E Ridgewood Ave
- Time zone
- ET (UTC-5)
- Office locations
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