BREAKWATER INVESTMENT MANAGEMENT

Legal name: BREAKWATER INVESTMENT MANAGEMENT, LLC

CRD 150841File 801-79040

APPROVED

Retail clients

Custody

Filing as of Apr 15, 2026

Feed vintage Aug 17, 2026

Regulatory AUM

$302.7M

Below cohort median (national)

Discretionary AUM

$302.7M

Clients

152

572 accounts

Employees

Below cohort median in WA

Identity & registration

ADV Item 1

Organization form: Limited Liability Company
Firm type: Registered
SEC region: SFRO
Registration date: Jan 9, 2014
Principal office: 2033 SIXTH AVENUE, #1010, SEATTLE, WA, 98121
Phone: 206.621.8832
Website: https://www.breakwater.com/

Assets & accounts

ADV Item 5F

Total regulatory AUM: $302.7M
Discretionary AUM: $302.7M
Non-discretionary AUM: $0
Discretionary accounts: 572
Non-discretionary accounts: 0
Total accounts: 572
AUM per client: $2.0M

Clients by type

ADV Item 5D

Client type	Clients	AUM
Charitable organizations	Fewer than 5	$555K
High net worth individuals	56	$252.4M
Individuals (other than high net worth individuals)	96	$49.8M

Compensation & activities

ADV Items 5E, 5G

Compensation

Fixed fees
Hourly charges
A percentage of assets under your management

Advisory activities

Other advisory activities
Financial planning services
Portfolio management for individuals and/or small businesses

Custody

ADV Item 9

Firm Custody Cash: Yes
Firm Custody Assets: No
Firm Custody Clients: No
Firm Custody Securities: Yes
Related Person Custody Cash: No
Related Person Custody Assets: No
Related Person Custody Clients: No
Related Person Custody Securities: No

Disclosure events

ADV Item 11

This firm answered no to every Item 11 disclosure question in this filing.

Filed changes

Date	Field	From	To
Aug 12, 2026	Registration	—	APPROVED

Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.