DFX Intelligence
Data Factory
Reading the graph
Reading the graph
Advisor at BREAKWATER INVESTMENT GROUP, LLC
NEWPORT BEACH, CA
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
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.
| Firm | Class | Began | Ended | Current | Branch | Basis |
|---|---|---|---|---|---|---|
| BREAKWATER INVESTMENT GROUP, LLC | State registered | Mar 31, 2025 | n/a | yes | NEWPORT BEACH, CA | Current employment |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Wirehouse | May 29, 2008 | Feb 10, 2012 | no | EVERETT, WA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | BREAKWATER INVESTMENT GROUP, LLC | Feb 10, 2012 | Mar 31, 2025 | 4,798 | Firm change after gap | Wirehouse to state RIA |