Breachway Investments, LLC logo

Breachway Investments, LLC

Updated today

Total assets under management

$155,576,155

Total clients

236

17% high-net worth

Total advisors

2

of 2 employees

Firm size

Supported

1-3 advisors or $200M+ in AUM

Average clients per advisor

118

Average account size

$659,221

About

Breachway Investments provides discretionary and non-discretionary portfolio management and financial planning primarily to individual and high-net-worth clients, and also to charitable organizations and qualified retirement plans. The firm offers ERISA plan services on a limited‑scope 3(21) basis and delivers ongoing wealth management alongside hourly financial planning engagements.

The firm implements diversified asset-allocation strategies (including strategic, dynamic, tactical and core‑satellite approaches) and uses fundamental, technical and charting analysis to construct portfolios composed of equities, ETFs and fixed‑income, with additional use of options and margin where appropriate. Breachway documents client goals and monitors accounts quarterly, and its brochure discloses that margin may be utilized in managed accounts and that fees for such accounts are based on net asset value.

Compared with many peers, Breachway is a small advisory firm managing approximately $155 million with two advisors that routinely offers public educational seminars and workshops at no charge and explicitly permits borrowing in separately managed accounts—both items noted as uncommon in its peer group. The firm also discloses occasional cross‑trading of client bonds to capture mid‑spread prices and maintains internal controls (a Code of Ethics and quarterly trade reviews) to address conflicts arising from proprietary and personal trading.

Client services

Financial planning Portfolio management Pension consulting Educational seminars or workshops

Expertise

Retirement plans for business owners (SEP, solo 401k) Tax strategies for small businesses Options & derivatives strategies

Occupation focus

Founder/Business Owner Retired

Fee options

Percentage

$0+: Up to 1.5% annually for asset management services $0+: Up to 1% annually for ERISA plan services

Project-based

$200 per hour for financial planning services

Other

Account minimum: $500,000 minimum (may be lowered or waived in certain instances) Fee-only: Hourly financial planning fee of $200 per hour

Main office location

Breachway Investments, LLC

4259 Old Post Road, Unit 1

Charlestown RI 02813, United States

Number of offices

2

Most active in

Connecticut · Florida · Massachusetts · Ohio · Rhode Island · Texas

Disclosures

Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.

Business activities & affiliations

Warmer team member

Not sure where to start?

We'll help you think it through – whether you ultimately need an advisor or not.

Call (201) 292-4557

Warmer provides personalized recommendations and introductions to independent fiduciary advisors. We do not supervise advisors, manage or hold assets, guarantee performance, or provide advice about specific investments.

Each advisor listed on our site is an independent fiduciary responsible for their own advice. Warmer may receive fees from advisors for participation or referrals; these fees are paid by advisors and do not affect the fees clients pay for advisory services.

For advisor listings, we rely on sources including public filings and data provided by advisors, and we cannot guarantee that all information is current or accurate. Please review an advisor's Form ADV and do your own diligence before entering into an advisory relationship.

By using our service, you agree to Warmer's Terms of Service and Advisory Agreement and Privacy Policy. Logos provided by Logo.dev

© 2026 Warmer Holdings Inc. ("Warmer")