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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

BREAKWATER INVESTMENT MANAGEMENT

BREAKWATER INVESTMENT MANAGEMENT, LLC, CRD 150841

SEATTLE, WA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:09afbb58-04fe-4261-4c60-b81c01460a1d

Data as of Apr 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 7:52 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 3
On other graphs: 0
Observed: Mar 22, 2012 to Apr 15, 2026
29 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: independent wealth managerderivedprivate_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $303MItem 5.F on the latest filing (2026-04-15); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $303M
Private client RAUM: $302MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 3
RAUM per advisor: $101Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 4
Advisory employees: 2
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 572
Individual clients: 96
High net worth clients: 56
Custody, client assets: $364,129
SEC number: 801-79040
CRD: 150841
Filings on the tape: 29
First filed: Mar 22, 2012
Latest filed: Apr 15, 2026
Organised: Limited Liability Company, WA
Website: breakwater.com

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
JOSEPH FRANCIS TURLEY	Certified Financial Planner\|Chartered Financial Analyst	SEATTLE, WA	17	42	1	no
BETHANY ANNE STEINHAUS	Certified Financial Planner	SEATTLE, WA	12	17	n/a	no
Kevin M DeAngelis	Certified Financial Planner	SEATTLE, WA	0	10	3	no

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
STEINHAUS, BETHANY, ANNE	MANAGING MEMBER, CHIEF COMPLIANCE OFFICER	E	yes	09/2021	Feb 9, 2021	Jul 11, 2024

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line; showing 13 of 14

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Apr 15, 2026	$303M	$303M	4	2	0	n/a	n/a
2024	Mar 24, 2025	$251M	$251M	3	1	0	n/a	n/a
2023	Jan 18, 2024	$234M	$234M	3	1	0	n/a	n/a
2022	Feb 17, 2023	$206M	$206M	3	1	0	n/a	n/a
2021	Feb 11, 2022	$227M	$227M	2	1	0	n/a	n/a
2020	Feb 9, 2021	$191M	$191M	3	2	0	n/a	n/a
2019	Mar 11, 2020	$172M	$172M	2	2	0	n/a	n/a
2018	Jan 30, 2019	$147M	$147M	2	2	0	n/a	n/a
2017	Feb 15, 2018	$151M	$151M	2	2	0	n/a	n/a
2016	Jan 25, 2017	$146M	$146M	2	2	n/a	n/a	n/a
2015	Jan 19, 2016	$123M	$123M	3	2	n/a	n/a	n/a
2014	Jan 29, 2015	$114M	$114M	2	2	n/a	n/a	n/a
2011	Mar 22, 2012	$71.3M	$70.7M	n/a	n/a	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
1	0	1	0.0%	0	0	0	1	0

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$303M	$251M	20.7%	$206M	13.6%	4	3	0	0

Relationships

Registered with (3)

← Kevin M DeAngelisAdvisorregistration: current employment
Apr 8, 2026 to presentfactForm ADV
← BETHANY ANNE STEINHAUSAdvisorregistration: current employment
Mar 26, 2014 to presentfactForm ADV
← JOSEPH FRANCIS TURLEYAdvisorregistration: current employment
Aug 27, 2009 to presentfactForm ADV

Controls (1)

← STEINHAUS, BETHANY, ANNEOwnerMANAGING MEMBER, CHIEF COMPLIANCE OFFICER, ownership code E, individual
Feb 9, 2021 to Jul 11, 2024factForm ADV

Dated events

Occurred
Sep 13, 2021
Control person left
Francis Joseph Turley (Managing Member) no longer on Schedule A of Breakwater Investment Management (listed 2021-02-09, absent 2021-09-13)
Form ADVobserved 6 days ago
Occurred
Feb 9, 2021
Control person joined
Anne Bethany Steinhaus (Chief Compliance Officer) appeared on Schedule A of Breakwater Investment Management
Form ADVobserved 6 days ago
Occurred
Jan 2, 2014
First Form ADV filing
Breakwater Investment Management filed its initial SEC registration (Form ADV)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:09afbb58-04fe-4261-4c60-b81c01460a1d
First observed: Mar 22, 2012
Last observed: Apr 15, 2026 5 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

BREAKWATER INVESTMENT MANAGEMENT

BREAKWATER INVESTMENT MANAGEMENT, LLC, CRD 150841

SEATTLE, WA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:09afbb58-04fe-4261-4c60-b81c01460a1d

Data as of Apr 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 7:52 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

JOSEPH FRANCIS TURLEY

Certified Financial Planner|Chartered Financial Analyst

SEATTLE, WA

BETHANY ANNE STEINHAUS

Certified Financial Planner

SEATTLE, WA

n/a

Kevin M DeAngelis

Certified Financial Planner

SEATTLE, WA

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

STEINHAUS, BETHANY, ANNE

MANAGING MEMBER, CHIEF COMPLIANCE OFFICER

yes

09/2021

Feb 9, 2021

Jul 11, 2024

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Apr 15, 2026

$303M

n/a

2024

Mar 24, 2025

$251M

n/a

2023

Jan 18, 2024

$234M

n/a

2022

Feb 17, 2023

$206M

n/a

2021

Feb 11, 2022

$227M

n/a

2020

Feb 9, 2021

$191M

n/a

2019

Mar 11, 2020

$172M

n/a

2018

Jan 30, 2019

$147M

n/a

2017

Feb 15, 2018

$151M

n/a

2016

Jan 25, 2017

$146M

n/a

2015

Jan 19, 2016

$123M

n/a

2014

Jan 29, 2015

$114M

n/a

2011

Mar 22, 2012

$71.3M

$70.7M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$303M

$251M

20.7%

$206M

13.6%