Breachway Investments provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, pension consulting, and educational seminars.
Breachway Investments reports 243 clients. They include 201 individual clients, 41 high-net-worth individuals and 1 charitable organization. Of its assets, 99.8% ($165M across 441 accounts) are managed with discretion; $256K across 1 account is not. Of its clients, 2% are outside the U.S. It advised 1 client without assets under management last fiscal year.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 83% | 37% |
| High-net-worth individuals | 17% | 60% |
| Charitable organizations | <1% | 3% |
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 201 | $61M | 37.0% | $304K |
| High-net-worth individuals | 41 | $99.2M | 60.2% | $2.42M |
| Charitable organizations | Fewer than 5 | $4.64M | 2.8% | $4.64M |
| Total | 243 | $165M | 100% | — |
- Clients
- 201
- Regulatory AUM
- $61M
- AUM share
- 37.0%
- Avg. per client
- $304K
- Clients
- 41
- Regulatory AUM
- $99.2M
- AUM share
- 60.2%
- Avg. per client
- $2.42M
- Clients
- Fewer than 5
- Regulatory AUM
- $4.64M
- AUM share
- 2.8%
- Avg. per client
- $4.64M
Total
- Clients
- 243
- Regulatory AUM
- $165M
- AUM share
- 100%
- Avg. per client
- —
- Clients outside the U.S.
- 2%
- Clients advised without assets under management last fiscal year
- 1
- Private funds advised
- 0
- Financial planning clients last fiscal year
- 0
Breachway Investments charges up to 1.50% a year for its Asset Management. The fee is billed in advance, is negotiable and requires an account of at least $500,000. The brochure also prices 2 other services, listed under fee details.
Fee details and sources
Other fees
- ERISA Plan Services
- Plan services are an annual fee negotiable and charged as a percentage of included plan assets, not to exceed 1%.
- Financial Planning
- Financial planning is billed at an hourly fee of $200 per hour, due on delivery of the completed plan.
Joseph Curran owns 75% or more of Breachway Investments. The leadership team of Breachway Investments includes Chief Compliance Officer Joseph Curran. It has 1 employee.
Leadership
Joseph CurranManaging Member & Chief Compliance Officer
Investment adviser representatives
1 representatives listed in the SEC register as of 9 October 2026.
Staff
- 1 employee
- 1 in advisory functions
- 1 state-registered rep
- Owns 75% or more of Breachway Investments, LLC
Joseph Curran
Control person · since March 2019
Breachway Investments’ regulatory assets grew from $112M (February 2024) to $165M (July 2026); clients rose from 162 to 243 and employees fell from 2 to 1.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | Employees | Offices |
|---|---|---|---|---|
| July 2026 | $165M | 243 | 1 | 2 |
| January 2025 | $131M | 193 | 2 | 2 |
| February 2024 | $112M | 162 | 2 | 2 |
Besides its headquarters, Breachway Investments has 1 office, with 2 listed addresses in Connecticut and Rhode Island.
Connecticut · 1 listed address
- 71 Raymond Road, West Hartford
Rhode Island · 1 listed address
- 4259 Old Post Road, Unit 1, CharlestownHQ
Contact and registration details
- Legal name
- Breachway Investments, LLC
- Headquarters
- 4259 Old Post Road, Unit 1, Charlestown, RI 02813
- Website
- breachwayinvestments.com
- Phone
- 860-709-0909
- SEC file
- 801-128891
- Structure
- Delaware LLC
- Fiscal year end
- December
Breachway Investments uses Charles Schwab ($165M) as custodian for its separately managed accounts. Breachway Investments has custody of $1.97M in client assets for 18 clients.
- Charles SchwabCharles Schwab & Co., Inc. · San Francisco, CA · $165M100%
At year end, Breachway Investments’ separately managed accounts were mostly in funds (55%) and stocks (26%). Its reported 13F holdings for the quarter ended 30 June 2026 total $66.4M across 74 positions; the largest are SPDR Index Shs Fds (6.0%), SPDR Series Trust (5.5%) and SPDR Series Trust (4.9%).
What the accounts hold
- Stocks26%
- Funds55%
- Bonds15%
- U.S. government and agency bonds9%
- Investment grade corporate bonds3%
- State and local bonds1%
- Sovereign bonds1%
- High-yield corporate bonds1%
- Cash4%
Reported 13F holdings
- $66.4M
- Reported 13F value
- 74
- Positions
- 41.4%
- In the 10 largest
- −36.3%
- Value vs. prior quarter
- SPDR Index Shs Fds · ST Str PO EX ETF6.0%
- SPDR Series Trust · ST Str P500val5.5%
- SPDR Series Trust · ST Str P500grw4.9%
- iShares TR · Ibds Dec28 ETF4.5%
- iShares TR · Ibonds 27 ETF4.2%
- iShares TR · Ibonds Dec 293.8%
- iShares TR · MSCI Eafe ETF3.3%
- iShares TR · Ibonds Dec20263.2%
- SPDR Series Trust · ST Str P400mid3.0%
- Apple Inc.3.0%
Together, the ten largest are 41.4% of reported value.
How many clients does Breachway Investments have?
Breachway Investments has 243 clients and manages $165 million for them, as of July 2026. They include 201 individual clients, 41 high-net-worth individuals and 1 charitable organization.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 1 July 2026
What services does Breachway Investments offer?
Breachway Investments provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, pension consulting, and educational seminars.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file
How much does Breachway Investments charge?
Breachway Investments charges up to 1.50% a year for its Asset Management. The fee is billed in advance, is negotiable and requires an account of at least $500,000.
Which custodians does Breachway Investments use?
Breachway Investments’ separately managed account assets are held at Charles Schwab & Co., Inc. (San Francisco, CA), with $165M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 1 July 2026
How many financial advisors does Breachway Investments have?
Breachway Investments has 1 investment adviser representative registered with state securities authorities, out of 1 employees, and 1 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.
Source: Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file
What does Breachway Investments invest in?
At the end of its last fiscal year, Breachway Investments’ separately managed accounts held 55% registered funds (mutual funds, ETFs, BDCs), 26% exchange-traded equities, 9% U.S. government and agency bonds, 4% cash and equivalents, 3% investment grade corporate bonds, 1% state and local bonds, 1% sovereign bonds and 1% high-yield corporate bonds.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Does Breachway Investments have a minimum investment?
Yes, Breachway Investments’ minimum account size for its Asset Management is $500K.
Who owns Breachway Investments?
Breachway Investments’ direct owner is Joseph Curran (75% or more).
Source: Form ADV Part 1A, Schedules A and B, filed 1 July 2026
How does Breachway Investments get paid?
Breachway Investments is paid through a percentage of assets under management and hourly charges. Its Form ADV lists no commissions or performance-based fees among how it is paid.
Source: Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file
Is Breachway Investments registered with the SEC?
Yes, Breachway Investments has been registered with the SEC as an investment adviser since 16 October 2023. Its CRD number is 299102 and its SEC file number is 801-128891.
Source: Form ADV Part 1A, Item 1, filed 1 July 2026; IAPD firm record
How do I contact Breachway Investments?
Breachway Investments’ main office is at 4259 Old Post Road, Unit 1, Charlestown, RI 02813. Its phone number is 860-709-0909. Its website is breachwayinvestments.com.