Breachway Investments, LLC (West Hartford)

Breachway Investments, LLC is an adviser based in West Hartford. It manages $21.9 million of regulatory assets for 97 client accounts. It has been registered with the SEC as an adviser since 2019 and has operated in the jurisdictions of Connecticut and Rhode Island.

Breachway Investments provides financial planning services, portfolio management for individuals and small businesses, portfolio management for businesses and institutional clients, pension consulting services, and selection of other advisers. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Breachway Investments: assets under management

The assets under management (AUM) of Breachway Investments, LLC is $21.9 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 0% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $21.9 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $225.77 thousand each.

Investments

The firm invests in exchange traded securities the most. They account for 56% of the total AUM. The second-largest asset type is investment grade corporate bonds, which make up 18% of the firm’s portfolio. Investments in non-investment grade corporate bonds form 8% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Breachway Investments, LLC for their services and products based on a percentage of assets under management, hourly charges, and fixed fees. Hourly charges are usually charged for consulting work and special projects. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Breachway Investments serves?

The firm provides services to individuals and high net worth individuals. The largest group of clients of Breachway Investments is individuals with 48 clients and $14.8 million of assets under management. Among the 2 most similar advisory firms, Breachway Investments has the highest percentage of individuals out of all clients.

The amount of regulatory assets under management is $21.9 million for 57 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

Breachway Investments doesn't advise any private funds.

Careers at Breachway Investments, LLC

The company employs 1 person that is either a part- or full-time employee. 100 percent of the employees work as investment advisers or researchers. Only one employee is registered as an investment adviser representative with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Joseph P Curran	Managing member & chief compliance officer	1 Mar 2019	75% - 100%	3024167

Based in West Hartford

The principal office where Breachway Investments, LLC performs its advisory services is located at 71 Raymond Road, West Hartford, CT 06107, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 860-709-0909. The normal business hours are 8:30am - 4pm on Monday - Friday.