{
  "crd_number": 299102,
  "slug": "breachway-investments-llc-charlestown-ri-299102",
  "primary_business_name": "BREACHWAY INVESTMENTS, LLC",
  "legal_name": "BREACHWAY INVESTMENTS, LLC",
  "dbas": [],
  "city": "Charlestown",
  "state": "RI",
  "country": "United States",
  "cbsa_code": "39300",
  "metro": {
    "cbsa_code": "39300",
    "common_name": "Providence",
    "msa_name": "Providence-Warwick, RI-MA",
    "path": "/advisors/ri/providence"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "2023-10-16",
  "years_registered": 2,
  "period": "2026-10-01",
  "filing_date": "2026-07-01",
  "carried_forward": false,
  "raum_total": 164902821.0,
  "raum_discretionary": 164647100.0,
  "raum_non_discretionary": 255721.0,
  "raum_band": "100m_500m",
  "raum_band_label": "$100 million to $500 million",
  "total_employees": 1,
  "advisory_employees": 1,
  "client_count_bucket": "fewer_than_5_in_some_types",
  "clients_by_type": {
    "charitable": {
      "raum": 4638871.0,
      "count": 1,
      "fewer_than_5": true
    },
    "individuals": {
      "raum": 61037200.0,
      "count": 201
    },
    "high_net_worth_individuals": {
      "raum": 99226750.0,
      "count": 41
    }
  },
  "compensation_types": [
    "hourly",
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "educational_seminars",
    "financial_planning",
    "pension_consulting",
    "portfolio_management_businesses_institutional",
    "portfolio_management_individuals"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 0,
  "states_registered": [
    "CT",
    "FL",
    "MA",
    "OH",
    "RI",
    "TX"
  ],
  "websites": [
    "https://breachwayinvestments.com"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/299102",
  "city_as_filed": "CHARLESTOWN",
  "url": "https://advisorcensus.com/firm/breachway-investments-llc-charlestown-ri-299102",
  "display_name": "Breachway Investments, LLC",
  "summary": "Breachway Investments, LLC is an SEC-registered investment advisory firm in Charlestown, RI, registered since 2023, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated July 1, 2026.",
  "citation": "AdvisorCensus. Breachway Investments, LLC (CRD 299102): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management",
    "Hourly charges"
  ],
  "advisory_activity_labels": [
    "Financial planning services",
    "Portfolio management for individuals and/or small businesses",
    "Portfolio management for businesses (other than small businesses) or institutional clients",
    "Pension consulting services",
    "Educational seminars/workshops"
  ],
  "quick_answers": [
    {
      "q": "How is Breachway Investments, LLC compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Breachway Investments, LLC reports these compensation arrangements: a percentage of assets under its management; hourly charges."
    },
    {
      "q": "Where is Breachway Investments, LLC located?",
      "a": "Breachway Investments, LLC's principal office is in Charlestown, RI, according to its Form ADV; the August 2026 filing also lists 1 other office (Schedule D, Section 1.F)."
    },
    {
      "q": "Is Breachway Investments, LLC registered with the SEC or a state?",
      "a": "Breachway Investments, LLC is an SEC-registered investment advisory firm, registered since 2023. Status as filed: Approved. CRD 299102."
    },
    {
      "q": "How much does Breachway Investments, LLC manage?",
      "a": "Breachway Investments, LLC reports $164,902,821 in regulatory assets under management in its Form ADV filing dated July 1, 2026 (100% discretionary)."
    },
    {
      "q": "How have Breachway Investments, LLC's assets and staff changed since 2024?",
      "a": "In the Form ADV data for Breachway Investments, LLC: Regulatory assets under management: $112,240,140 in the October 2024 data and $164,902,821 in the October 2026 data, up 47%. Total employees: 2 in October 2024 and 1 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does Breachway Investments, LLC serve?",
      "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (201); high net worth individuals (41); charitable organizations (1)."
    },
    {
      "q": "Which custodians does Breachway Investments, LLC use?",
      "a": "Breachway Investments, LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. as a custodian holding 10% or more of its separately managed account assets."
    },
    {
      "q": "Does Breachway Investments, LLC report any disciplinary disclosures?",
      "a": "Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/299102"
    },
    {
      "q": "What changed in Breachway Investments, LLC's recent Form ADV filings?",
      "a": "In the July 2026 filing data: Employees performing advisory functions went from 2 to 1."
    }
  ],
  "filing_history": [
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 112240140.0,
      "total_employees": 2,
      "filing_date": "2024-02-29"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 131255814.0,
      "total_employees": 2,
      "filing_date": "2025-01-16"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 164902821.0,
      "total_employees": 1,
      "filing_date": "2026-07-01"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-07-01",
      "period_label": "July 2026",
      "notes": [
        "Employees performing advisory functions went from 2 to 1."
      ]
    },
    {
      "period": "2026-02-01",
      "period_label": "February 2026",
      "notes": [
        "Regulatory assets under management went from $131,255,814 to $155,576,155 (+19%)."
      ]
    }
  ],
  "fees_from_brochure": null,
  "custodians": [
    {
      "name": "Charles Schwab & Co., Inc.",
      "name_as_filed": "CHARLES SCHWAB & CO., INC.",
      "affiliated": false
    }
  ],
  "custodians_note": "Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.",
  "markdown_url": "https://advisorcensus.com/firm/breachway-investments-llc-charlestown-ri-299102.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 201,
      "fewer_than_5": false,
      "raum": 61037200.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 41,
      "fewer_than_5": false,
      "raum": 99226750.0
    },
    {
      "type": "charitable",
      "label": "Charitable organizations",
      "count": 1,
      "fewer_than_5": true,
      "raum": 4638871.0
    }
  ],
  "disclosure_line": "Reports no disclosure items on Form ADV Item 11.",
  "disclosure_items": [],
  "indexable": true,
  "suppressed": false,
  "claimed": false,
  "enhanced": false,
  "provided_by_the_firm": null,
  "source": {
    "name": "Form ADV",
    "as_of": "2026-10-01",
    "iapd_url": "https://adviserinfo.sec.gov/firm/summary/299102",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}