Breakwater Investment Management
Firm details
- Headquarters
- Seattle, Washington
- CRD number
- 150841
- Registered since
- January 9, 2014
- Website
- www.breakwater.com
- Custodians
- CHARLES SCHWAB & CO., INC.
- Fee structure
- Percentage of AUM, Hourly Charges, Fixed Fees
- Client types
- HNWI83.38%
- Individuals16.44%
- Charitable Organizations0.18%
- Services
- Financial PlanningPortfolio Management for Individuals
Firm profile
FINTRXOverview
Breakwater Investment Management is an independent, individually owned RIA that provides financial planning and portfolio management primarily for individuals, families and small businesses. The firm is SEC-registered (initial registration in 2014) and uses a mix of fee arrangements (percentage of AUM, hourly and fixed fees). Service offerings emphasize comprehensive planning and discretionary portfolio management rather than institutional pension consulting or multi-state advisory complexity. Breakwater does not identify as an active ESG investor.
Assets & Accounts
Public Holdings
Investments & Alternatives
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
- Exchange Traded Equities76%
- Investment Grade Corp Bonds9%
- Sovereign Bonds6%
- US Government Bonds5%
- Cash & Cash Equivalents3%
Owners & executives
1 of 1
Joseph Turley
Chief Compliance OfficerCRD 1265535
Contacts
2 of 2
Bethany Steinhaus
OwnerCRD 5311241
Kevin DeAngelis
Financial AdvisorCRD 6513156
Wealth teams
FINTRXNewly hired reps
FINTRXRecent M&A activity
FINTRXRecent filings
FINTRXAwards
FINTRXETF holdings
1 of 257Active vs passive
$339M in ETFs
82%
$279M
6%
$59.6M
| ETF | Provider | Style | Category | Value | Shares | % of portfolio |
|---|---|---|---|---|---|---|
| VANGUARD MORNINGSTAR TOTAL STOCK MARKET INDEX FUND (VTI) | Vanguard | Passive | Large Blend | $39.1M | 104,534 | 11.55% |
Location
Seattle, WA
King
Location
Seattle, WA
Headquartered in Seattle, WA, anchoring the Seattle-Tacoma, WA metro in the West.
- Metro area
- Seattle-Tacoma, WA
- Region
- West
- County
- King
- Address
- 2033 6th Ave
- Time zone
- PT (UTC-8)
- Office locations
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