DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Breachway Investments, LLC
Latest filing Jul 1, 2026
First filing on the tape Jan 28, 2019 · 12 filings
SEC status approved since Oct 16, 2023
RAUM
$165M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$160M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$165M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$165M as of Jul 1, 2026
Jan 10, 2024$112M then
HNW client RAUM$99.2M as of Jul 1, 2026
Jan 10, 2024$55.6M then
State-registered IARs (5.B.3)1 as of Jul 1, 2026
Jan 10, 20242 then
Employees (5.A)1 as of Jul 1, 2026
Jan 10, 20242 then
Private funds: no history
RAUM +26% over the last fiscal yearIARs 2 to 1
Practice profile
derived from the filing of Jul 1, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $165MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 242derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $373,083derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +19%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +23%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, educational seminarsreportedItem 5.G
- Custody
- $2.0M, 18 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$99.2M60%
- Individuals$61.0M37%
- Charitable organizations$4.6M2.8%
- Individual clients
- 201reported
- HNW clients
- 41reported
- Pension plan clients
- n/areported
- Charitable clients
- 1reported
- Accounts
- 442reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $2.0M for 18 clientsreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Joseph P CurranCertified Financial Planner | Charlestown, Ri | May 7, 2019 | 26 y | 5 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months1 left in 90 days0 joined in 90 daysdeparture rate 100% of current headcount1 left over 36 months
Left, latest
- Samuel Elias Kaplowitz to Soundview Private Wealth AdvisorsJul 1, 2026 · RIA to a state-registered adviser
Joined, latest
- Samuel Elias Kaplowitz from Merrill Lynch, Pierce, Fenner & Smith IncorporatedMar 31, 2023 · Wirehouse to independent RIA
- Joseph P Curran from Merrill Lynch, Pierce, Fenner & Smith IncorporatedMay 7, 2019 · Wirehouse to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P Joseph Curran · Managing Member & Chief Compliance Officercontrolsince 03/2019 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Charlestown, Ri · principal | 1 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- West Hartford, CT1 employees
What changed
consecutive filings, newest first
- Insurance-licensed employees · 1 to 0Jun 16, 2026 to Jul 1, 2026
- Accounts · 441 to 442Jan 27, 2026 to Jun 16, 2026
- Advisory employees · 2 to 1Jan 27, 2026 to Jun 16, 2026
- HNW clients · 39 to 41Jan 27, 2026 to Jun 16, 2026
- Individual clients · 197 to 201Jan 27, 2026 to Jun 16, 2026
- Assets in custody · $1.8M to $2.0MJan 27, 2026 to Jun 16, 2026
- Employees · 2 to 1Jan 27, 2026 to Jun 16, 2026
- Insurance-licensed employees · 0 to 1Jan 27, 2026 to Jun 16, 2026
- State-registered IARs · 2 to 1Jan 27, 2026 to Jun 16, 2026
- Discretionary RAUM · $155M to $165MJan 27, 2026 to Jun 16, 2026
- HNW RAUM · $95.2M to $99.2MJan 27, 2026 to Jun 16, 2026
- Individual RAUM · $56.0M to $61.0MJan 27, 2026 to Jun 16, 2026
- Non-discretionary RAUM · $247,633 to $255,721Jan 27, 2026 to Jun 16, 2026
- RAUM · $156M to $165MJan 27, 2026 to Jun 16, 2026
- Accounts · 403 to 441Jan 16, 2025 to Jan 27, 2026
- HNW clients · 29 to 39Jan 16, 2025 to Jan 27, 2026
- Individual clients · 163 to 197Jan 16, 2025 to Jan 27, 2026
- Assets in custody · $1.8M to $1.8MJan 16, 2025 to Jan 27, 2026
- Discretionary RAUM · $131M to $155MJan 16, 2025 to Jan 27, 2026
- HNW RAUM · $68.0M to $95.2MJan 16, 2025 to Jan 27, 2026
- Individual RAUM · $59.4M to $56.0MJan 16, 2025 to Jan 27, 2026
- Non-discretionary RAUM · $243,731 to $247,633Jan 16, 2025 to Jan 27, 2026
- RAUM · $131M to $156MJan 16, 2025 to Jan 27, 2026
- Accounts · 371 to 403Feb 29, 2024 to Jan 16, 2025
- HNW clients · 26 to 29Feb 29, 2024 to Jan 16, 2025
- Individual clients · 135 to 163Feb 29, 2024 to Jan 16, 2025
- Assets in custody · $9.9M to $1.8MFeb 29, 2024 to Jan 16, 2025
- Financial planning clients · 0 to 0Feb 29, 2024 to Jan 16, 2025
- Discretionary RAUM · $109M to $131MFeb 29, 2024 to Jan 16, 2025
- HNW RAUM · $55.6M to $68.0MFeb 29, 2024 to Jan 16, 2025
- Individual RAUM · $53.2M to $59.4MFeb 29, 2024 to Jan 16, 2025
- Non-discretionary RAUM · $3.2M to $243,731Feb 29, 2024 to Jan 16, 2025
- RAUM · $112M to $131MFeb 29, 2024 to Jan 16, 2025
- Accounts · 353 to 371Sep 14, 2023 to Jan 10, 2024
- HNW clients · 23 to 26Sep 14, 2023 to Jan 10, 2024
- Individual clients · 131 to 135Sep 14, 2023 to Jan 10, 2024
- Assets in custody · $9.0M to $9.9MSep 14, 2023 to Jan 10, 2024
- Discretionary RAUM · $103M to $109MSep 14, 2023 to Jan 10, 2024
- HNW RAUM · $55.1M to $55.6MSep 14, 2023 to Jan 10, 2024
- Individual RAUM · $47.2M to $53.2MSep 14, 2023 to Jan 10, 2024
Signals
2 dated events
- Samuel Elias Kaplowitz left Breachway Investments, Llc for Soundview Private Wealth Advisors (registered 2026-06-10)Jul 1, 2026 · Advisor changed firm · fact
- Breachway Investments, Llc filed its initial SEC registration (Form ADV)Jan 28, 2019 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business email
- joe@breachwayinvestments.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 401-932-6941reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 860-709-0909reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- breachwayinvestments.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 860-709-0909reportedpublic record, Form ADV, Jul 1, 2026
- Contact form
- breachwayinvestments.com/contactreportedpublished by the firm, firm site, Sep 16, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $165Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026