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BREAKWALL INVESTMENT ADVISOR LLC

PORT WASHINGTON, NY · CRD 328990 · IAPD ↗ · breakwallcap.com · 516-363-2004

$3.52BRegulatory AUM
6Advisory reps
9Employees
0Clients
n/aPlanning clients
5Private funds
3States
0Disclosures
fundSegment
ApprovedSEC status

Filing changes

40
June 2026 — BREAKWALL INVESTMENT ADVISOR LLC shrank from 8 to 6 advisory reps.
Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
Recruiting & transitionsM&A & valuation
60
April 2026 — BREAKWALL INVESTMENT ADVISOR LLC reported RAUM up 99% ($1.77B -> $3.52B).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
35
September 2024 — BREAKWALL INVESTMENT ADVISOR LLC moved its main office from NEWPORT, RI to PORT WASHINGTON, NY.
Main office moved to a different city or state.
Office IT & facilitiesMarketing & brand
45
April 2024 — BREAKWALL INVESTMENT ADVISOR, LLC is now doing business as BREAKWALL INVESTMENT ADVISOR LLC.
Primary business name changed: rebrand, merger, or ownership change.
Marketing & brandCRM
55
April 2024 — BREAKWALL INVESTMENT ADVISOR LLC now reports custody of client assets ($1.01B).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
57
April 2024 — BREAKWALL INVESTMENT ADVISOR LLC grew from 5 to 7 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
60
April 2024 — BREAKWALL INVESTMENT ADVISOR LLC's provisional registration is now fully approved.
120-day provisional registration became a full approval.
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
60
April 2024 — BREAKWALL INVESTMENT ADVISOR LLC now reports 1 private fund(s) ($505.1M gross).
Firm reports private funds for the first time.
Fund administrationCompliance

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