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BREAKWATER CAPITAL GROUP

PARAMUS, NJ · CRD 321097 · IAPD ↗ · breakwatercapitalgroup.com · (551) 342-3733

$1.02BRegulatory AUM
4Advisory reps
4Employees
12Clients
251-500Planning clients
0Private funds
13States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

55
August 2026 — BREAKWATER CAPITAL GROUP added office(s): 5 -> 6 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
70
April 2026 — BREAKWATER CAPITAL GROUP now reports custody of client assets ($104,761).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
85
April 2026 — BREAKWATER CAPITAL GROUP crossed $1B in regulatory AUM ($843.4M -> $1.02B).
Regulatory AUM crossed $1B. Large-adviser status changes what they need and can afford.
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
45
February 2026 — BREAKWATER CAPITAL GROUP notice-filed in CA.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
53
December 2025 — BREAKWATER CAPITAL GROUP added office(s): 4 -> 5 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
45
April 2025 — BREAKWATER CAPITAL GROUP notice-filed in VA.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
67
April 2025 — BREAKWATER CAPITAL GROUP reported RAUM up 45% ($579.7M -> $843.4M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
73
April 2025 — BREAKWATER CAPITAL GROUP reports 251-500 financial-planning clients, up from 1-10.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
45
January 2025 — BREAKWATER CAPITAL GROUP notice-filed in NC.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
45
December 2024 — BREAKWATER CAPITAL GROUP notice-filed in CT.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
61
April 2024 — BREAKWATER CAPITAL GROUP reports 1-10 financial-planning clients, up from 0.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
70
April 2024 — BREAKWATER CAPITAL GROUP crossed $500M in regulatory AUM ($334.8M -> $579.7M).
Regulatory AUM crossed $500M.
Portfolio / reporting / TAMPCRMIntegration & migration consulting

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.