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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
B••••••••• C•••••• G••••
Latest filing Jul 24, 2026
First filing on the tape Apr 19, 2022 · 20 filings
SEC status approved since May 19, 2022
RAUM
$1.0B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$1.0B individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$255M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
6
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$1.0B as of Jul 24, 2026
Jan 27, 2023$335M then
HNW client RAUM$968M as of Jul 24, 2026
Jan 27, 2023$320M then
State-registered IARs (5.B.3)4 as of Jul 24, 2026
Jan 27, 20232 then
Employees (5.A)4 as of Jul 24, 2026
Jan 27, 20232 then
Private funds: no history
RAUM +21% over the last fiscal year+45% a year over threeIARs 3 to 4offices 4 to 6
Practice profile
derived from the filing of Jul 24, 2026; every figure names its basis
- RAUM per advisor
- $255MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 93derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.1MderivedHNW RAUM over HNW clients
- Average account
- $762,857derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 0.6derived7 offices incl. principal (1.F.5)
- RAUM growth, one year
- +21%derivedbetween the last two annual amendments
- Advisor growth, one year
- +33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +18%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, educational seminarsreportedItem 5.G
- Custody
- $104,761, 1 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$968M95%
- Individuals$51.1M5.0%
- Corporations and businesses$13,2260.0%
- Individual clients
- 131reported
- HNW clients
- 239reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,336reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $104,761 for 1 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••••• C•••• H•••••Certified Financial Planner | Paramus, Nj | Jul 12, 2022 | 26 y | 2 |
| M••••••• R••• B••••••Certified Financial Planner, Chartered Financial Consultant | Denver, Co | Feb 7, 2023 | 10 y | 3 |
| T••••• J••••••• M•••••Certified Financial Planner | Dedham, Ma | Jul 14, 2023 | 24 y | 2 |
| J•••• M• F••••Chartered Financial Analyst | Paramus, Nj | Sep 3, 2025 | 11 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- T••••• J••••••• M••••• from F••••••• P••••••• A•• W•••••••• A•••••••Jul 14, 2023 · Affiliated broker-dealer or bank to independent RIA
- M••••••• R••• B•••••• from C••••••• C•••••• M•••••••••Feb 7, 2023 · RIA to RIA
- J•••••• C•••• H••••• from F••••••• P••••••• A•• W•••••••• A•••••••Jul 12, 2022 · Affiliated broker-dealer or bank to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H•••••• J••••••• C•••• · Presidentcontrolsince 04/2022 · owns less than 5%
- M•••••• T•••••• J••••••• · Chief Compliance Officercontrolsince 07/2023 · owns less than 5%
- H•••••• J••••••• C•••• · Ownercontrolsince 06/2023 · owns 75% or more of B••••••• C•••••• I••
Entity owners
- B••••••• C•••••• I•• · Shareholderdirect · 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 |
|---|---|---|---|---|---|
| Paramus, Nj · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Dedham, MA1 employees
- Denver, CO1 employees
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Jul 24, 2026H•••••• J••••••• C•••• (PRESIDENT) left Schedule A between the filings of 2023-07-19 and 2026-07-24peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Other offices · 5 to 6Mar 19, 2026 to Jul 24, 2026
- Accounts · 1,124 to 1,336Jan 9, 2026 to Mar 19, 2026
- Advisory employees · 3 to 4Jan 9, 2026 to Mar 19, 2026
- HNW clients · 215 to 239Jan 9, 2026 to Mar 19, 2026
- Individual clients · 99 to 131Jan 9, 2026 to Mar 19, 2026
- Assets in custody · unset to 104761.0Jan 9, 2026 to Mar 19, 2026
- Custody of client assets · false to trueJan 9, 2026 to Mar 19, 2026
- Employees · 3 to 4Jan 9, 2026 to Mar 19, 2026
- State-registered IARs · 3 to 4Jan 9, 2026 to Mar 19, 2026
- Discretionary RAUM · $843M to $1.0BJan 9, 2026 to Mar 19, 2026
- HNW RAUM · $808M to $968MJan 9, 2026 to Mar 19, 2026
- Individual RAUM · $35.2M to $51.1MJan 9, 2026 to Mar 19, 2026
- Pension RAUM · 150000.0 to unsetJan 9, 2026 to Mar 19, 2026
- RAUM · $843M to $1.0BJan 9, 2026 to Mar 19, 2026
- Other offices · 4 to 5Apr 4, 2025 to Oct 16, 2025
- Accounts · 218 to 1,124Dec 9, 2024 to Apr 4, 2025
- Advisory activities · 4 to 5Dec 9, 2024 to Apr 4, 2025
- HNW clients · 145 to 215Dec 9, 2024 to Apr 4, 2025
- Individual clients · 69 to 99Dec 9, 2024 to Apr 4, 2025
- Financial planning clients · 1-10 to 251-500Dec 9, 2024 to Apr 4, 2025
- Discretionary RAUM · $580M to $843MDec 9, 2024 to Apr 4, 2025
- HNW RAUM · $553M to $808MDec 9, 2024 to Apr 4, 2025
- Individual RAUM · $26.3M to $35.2MDec 9, 2024 to Apr 4, 2025
- Pension RAUM · unset to 150000.0Dec 9, 2024 to Apr 4, 2025
- RAUM · $580M to $843MDec 9, 2024 to Apr 4, 2025
- Accounts · 122 to 218Aug 29, 2023 to Mar 6, 2024
- Advisory employees · 2 to 3Aug 29, 2023 to Mar 6, 2024
- HNW clients · 90 to 145Aug 29, 2023 to Mar 6, 2024
- Individual clients · 32 to 69Aug 29, 2023 to Mar 6, 2024
- Employees · 2 to 3Aug 29, 2023 to Mar 6, 2024
- Insurance-licensed employees · 2 to 0Aug 29, 2023 to Mar 6, 2024
- Financial planning clients · 0 to 1-10Aug 29, 2023 to Mar 6, 2024
- State-registered IARs · 2 to 3Aug 29, 2023 to Mar 6, 2024
- Discretionary RAUM · $335M to $580MAug 29, 2023 to Mar 6, 2024
- HNW RAUM · $320M to $553MAug 29, 2023 to Mar 6, 2024
- Individual RAUM · $14.9M to $26.3MAug 29, 2023 to Mar 6, 2024
- RAUM · $335M to $580MAug 29, 2023 to Mar 6, 2024
- Other offices · 2 to 4May 8, 2023 to Jul 19, 2023
- Accounts · 313 to 122Dec 14, 2022 to Jan 27, 2023
- Advisory employees · 1 to 2Dec 14, 2022 to Jan 27, 2023
Signals
5 dated events
- B••••••••• C•••••• G•••• reported RAUM $843.4M, up 45% from $579.7M (2024-12-09 to 2025-04-04)Apr 4, 2025 · RAUM change · derived
- B••••••••• C•••••• G•••• reported RAUM $579.7M, up 73% from $334.8M (2023-08-29 to 2024-03-06)Mar 6, 2024 · RAUM change · derived
- Jeremiah Thomas Mullen (Chief Compliance Officer) appeared on Schedule A of B••••••••• C•••••• G••••Jul 19, 2023 · Control person joined · fact
- B••••••••• C•••••• G•••• reported RAUM $334.8M, up 54% from $217.0M (2022-12-14 to 2023-01-27)Jan 27, 2023 · RAUM change · derived
- B••••••••• C•••••• G•••• filed its initial SEC registration (Form ADV)Apr 19, 2022 · 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
- m•••••••••@b•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- c•••••••@b•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- n••••••••@b•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 720-817-8723reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 551-342-3733reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 339-502-4200reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/breakwater-capital-groupreportedpublic record, Form ADV, Sep 18, 2026
- Website
- b•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (551) 342-3733reportedpublic record, Form ADV, Jul 24, 2026
- Contact form
- b•••••••••.comreportedpublished by the firm, firm site, Sep 15, 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
- $255Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026