Data / Investment advisers / Rhode Island / Breachway Investments, LLC
Breachway Investments, LLC, Charlestown, RI: $165 million AUM, SEC registered investment adviser
Updated November 7, 2026. Source: the SEC's Form ADV data files for investment advisers.
Breachway Investments, LLC is an SEC registered investment adviser with its main office in Charlestown, Rhode Island and reports $165 million in regulatory assets under management in its Form ADV filed July 1, 2026. Its clients include high net worth individuals, individuals and charitable organizations. It is paid through a percentage of assets under management and hourly charges.
The request: Watch Breachway Investments, LLC (CRD number 299102): each new Form ADV amendment, with AUM, clients and private funds. $10 of work on sign-up, no card.
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- Registration
- SEC registered investment adviser
- CRD number
- 299102
- SEC file number
- 801-128891
- SEC status
- Approved, effective October 16, 2023
- Main office
- 4259 Old Post Road Unit 1, Charlestown, RI 02813
- Phone
- (860) 709-0909
- Website
- breachwayinvestments.com
- Regulatory AUM
- $164,902,821 in the Form ADV filed July 1, 2026
- Discretionary AUM
- $164,647,100
- Non discretionary AUM
- $255,721
- Accounts
- 442
- Employees
- 1, of which 1 give investment advice
- Form of organization
- Limited Liability Company
- Paid through
- a percentage of assets under management, hourly charges
- Other offices
- 1
- Form ADV Item 11 disclosures
- None reported
- Latest Form ADV filing
- July 1, 2026
- SEC record
- Investment Adviser Public Disclosure
Clients
Client types the adviser reports in Form ADV item 5.D, with the AUM it attributes to each.
| Client type | Clients | AUM |
|---|---|---|
| High net worth individuals | 41 | $99.2 million |
| Individuals (other than high net worth individuals) | 201 | $61 million |
| Charitable organizations | 1 | $4.6 million |
AUM in the SEC's monthly files
Each change in the AUM the adviser reported across the monthly SEC files held here, with the first file that shows the new value.
| First in the file of | AUM | Form ADV filed |
|---|---|---|
| July 1, 2026 | $164.9 million | June 16, 2026 |
| February 2, 2026 | $155.6 million | January 27, 2026 |
| December 1, 2025 | $131.3 million | January 16, 2025 |
Other advisers in Rhode Island
| Adviser | City | AUM | Private funds | Source |
|---|---|---|---|---|
| Forbes Financial Planning, Inc. | East Greenwich | $240.5 million | Not listed | adviserinfo.sec.gov |
| Veritas Wealth Management | North Kingstown | $219.9 million | Not listed | adviserinfo.sec.gov |
| Slocum, Gordon & Co. LLP | Newport | $219.2 million | Not listed | adviserinfo.sec.gov |
| D & P Investment Advisors, LTD. | Wakefield | $197.8 million | Not listed | adviserinfo.sec.gov |
| Eliot Rose Wealth Management, LLC | Providence | $186.3 million | Not listed | adviserinfo.sec.gov |
| Have RIA, Inc. | Providence | $160.8 million | Not listed | adviserinfo.sec.gov |
| Bountiful Investment Management LLC | Rumford | $160.5 million | Not listed | adviserinfo.sec.gov |
| Alpha Dog Advisors, Ruff | Cranston | $153.6 million | Not listed | adviserinfo.sec.gov |
Also on SpecStream
- Investment advisers in Rhode Island
- Advisers with $100 million to $500 million in AUM
- Advisers serving high net worth individuals
- Advisers serving individuals
- Breachway Investments, LLC on the SEC's adviser search
Public data published by the US Securities and Exchange Commission (US government work). Advisers report these values themselves in Form ADV, and neither the SEC nor the states approve or guarantee them. AUM is regulatory assets under management as the adviser reported it in Form ADV item 5.F, which can differ from the AUM a firm quotes elsewhere. Exempt reporting advisers do not report AUM. Office address, phone and website are the adviser's main office as filed; a firm that files its main office as a private residence shows no street address or phone. An Item 11 disclosure is a reported event, not a finding about the firm today. Details for each firm are on the SEC's Investment Adviser Public Disclosure site. This page uses SEC data and is not endorsed or certified by the SEC. Free to reuse with credit to SpecStream under CC BY 4.0. Spot a wrong value? Write to [email protected] with the link to this page.