# Breakwater Investment Group, LLC

> Breakwater Investment Group, LLC is a state-registered investment advisory firm in Newport Beach, CA, registered since 2004, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated March 30, 2026.

- CRD: 128747
- Filed as: BREAKWATER INVESTMENT GROUP, LLC
- Registration: State-registered investment adviser (status as filed: APPROVED)
- Location: Newport Beach, CA
- Filing period: October 2026
- Form ADV filing dated: March 30, 2026
- Public record (IAPD): https://adviserinfo.sec.gov/firm/summary/128747
- AdvisorCensus page: https://advisorcensus.com/firm/breakwater-investment-group-llc-newport-beach-ca-128747

## Quick answers

**How is Breakwater Investment Group, LLC compensated?**
On its Form ADV (Item 5.E, October 2026), Breakwater Investment Group, LLC reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees). The amounts are in Item 5 of its Form ADV Part 2A brochure.

**Where is Breakwater Investment Group, LLC located?**
Breakwater Investment Group, LLC's principal office is in Newport Beach, CA, according to its Form ADV.

**Is Breakwater Investment Group, LLC registered with the SEC or a state?**
Breakwater Investment Group, LLC is a state-registered investment advisory firm, registered since 2004. Status as filed: APPROVED. CRD 128747.

**How much does Breakwater Investment Group, LLC manage?**
Breakwater Investment Group, LLC reports $107,042,312 in regulatory assets under management in its Form ADV filing dated March 30, 2026 (86% discretionary).

**What types of clients does Breakwater Investment Group, LLC serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (8); other (5).

**Does Breakwater Investment Group, LLC report any disciplinary disclosures?**
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/128747

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)

### Regulatory assets under management (Item 5.F)
- Total: $107,042,312
- Discretionary: $92,396,525
- Non-discretionary: $14,645,787

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 8 | $805,572 |
| High net worth individuals | Fewer than 5 | $9,841,116 |
| Charitable organizations | Fewer than 5 | $47,611,932 |
| Other | 5 | $48,783,692 |

### Advisory services (Item 5.G)
- 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
- Other

### Firm details
- Registered since: 2004 (22 years)
- Employees: 2 total, 2 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: CA
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- breakwater-ig.com
- LinkedIn @breakwater-ig

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Breakwater Investment Group, LLC (CRD 128747): Form ADV filing data as of October 2026.