{"url":"https://nivawealth.com/firms/breakwall-investment-advisor-328990","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/328990","regulatoryAum":3520731351,"crd":"328990","history":[{"filedOn":"2024-03-28","regulatoryAum":1763681961,"clients":9,"employees":7,"offices":3},{"filedOn":"2025-03-31","regulatoryAum":1768812417,"clients":9,"employees":9,"offices":3},{"filedOn":"2026-05-01","regulatoryAum":3520731351,"clients":11,"employees":9,"offices":3}],"secFileNumber":"801-129195","legalName":"Breakwall Investment Advisor LLC","displayName":"Breakwall Investment Advisor","slug":"breakwall-investment-advisor-328990","website":"https://breakwallcap.com/","classification":{"segment":"private_funds","segmentLabel":"Private funds","type":"private_fund_manager","typeLabel":null,"feeDisclosure":"payment_only"},"linkedinUrl":"https://www.linkedin.com/company/breakwallcap/","founded":null,"organization":"Delaware limited liability company","fiscalYearEnd":"December","headquarters":{"street":"921 Port Washington BLVD, Suite 8","city":"Port Washington","state":"NY","stateName":"New York","country":"United States","postalCode":"11050"},"tradeNames":[],"registration":{"secApproved":"8 December 2023","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":null,"staff":{"employees":9,"advisory":6,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":3520731351,"discretionary":125113088,"discretionaryAccounts":1,"nonDiscretionary":3395618263,"nonDiscretionaryAccounts":10,"wrapProgram":null,"nonUsClientsPct":55,"nonAumClients":0},"clientTypes":[{"label":"Pooled investment vehicles","clients":11,"regulatoryAum":3520731351}],"feePrograms":[],"brochureCoverage":{"scope":"known_documents","status":"not_processed","checkedAt":null,"documents":[]},"custodians":[],"custodyNote":"Breakwall Investment Advisor has custody of $2.82B in client assets for 5 clients.","leadership":[{"name":"Christopher Abbate","title":"Co-Chief Executive Officer","crd":"2910866"},{"name":"Jamie Brodsky","title":"Co-Chief Executive Officer","crd":"4874515"},{"name":"Daniel Flannery","title":"President","crd":"5350764"},{"name":"Natasha Harris","title":"Chief Compliance Officer","crd":"8261581"}],"ownership":[{"label":"Breakwall Fee Partnership LP","detail":"Member in the 75% or more ownership band and a control person, since November 2023."},{"label":"Christopher Abbate","detail":"Indirect owner: a limited partner of Breakwall Capital LP in the 25% to 50% band and a control person, since November 2023. Also a member of Breakwall Capital GP LLC in the 25% to 50% band and a control person, since September 2023.","parent":"Breakwall Capital LP"},{"label":"Daniel Flannery","detail":"Indirect owner: a limited partner of Breakwall Capital LP in the 25% to 50% band and a control person, since November 2023. Also a member of Breakwall Capital GP LLC in the 25% to 50% band and a control person, since September 2023.","parent":"Breakwall Capital LP"},{"label":"Jamie Brodsky","detail":"Indirect owner: a limited partner of Breakwall Capital LP in the 25% to 50% band and a control person, since November 2023. Also a member of Breakwall Capital GP LLC in the 25% to 50% band and a control person, since September 2023.","parent":"Breakwall Capital LP"},{"label":"Breakwall Capital LP","detail":"Indirect owner: a member of Breakwall GP LLC in the 75% or more band and a control person, since December 2023.","parent":"Breakwall GP LLC"},{"label":"Breakwall GP LLC","detail":"Indirect owner: general partner of Breakwall Fee Partnership LP and a control person, since September 2023.","parent":"Breakwall Fee Partnership LP"},{"label":"Breakwall Capital GP LLC","detail":"Indirect owner: general partner of Breakwall Capital LP and a control person, since November 2023.","parent":"Breakwall Capital LP"}],"filedOffices":{"otherThanPrincipal":2,"privateResidences":0},"listedOfficeAddresses":3,"foreignOffices":[],"officesByState":[{"state":"New York","offices":1,"addresses":[{"street":"921 Port Washington BLVD, Suite 8","city":"Port Washington","headquarters":true}]},{"state":"Rhode Island","offices":1,"addresses":[{"street":"174 Bellevue Avenue","city":"Newport"}]},{"state":"Texas","offices":1,"addresses":[{"street":"4900 Woodway Drive","city":"Houston"}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"516-363-2004","stateRegisteredReps":0,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Performance-based fees"],"activities":["Portfolio management for pooled investment vehicles (other than investment companies)"],"financialPlanningClients":null,"assetMix":[],"privateFunds":5},"sources":{"adv1FilingDate":"1 May 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/328990/PDF/328990.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-21","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Breakwall Investment Advisor have?","answer":"Breakwall Investment Advisor has 11 clients and manages $3.52 billion for them, as of May 2026. They include 11 pooled investment vehicles.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 1 May 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Breakwall Investment Advisor offer?","answer":"Breakwall Investment Advisor provides portfolio management for pooled vehicles.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How many financial advisors does Breakwall Investment Advisor have?","answer":"Breakwall Investment Advisor has 0 investment adviser representatives registered with state securities authorities, out of 9 employees, and 6 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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Breakwall Investment Advisor?","answer":"Breakwall Investment Advisor is owned through a chain of holding companies by Christopher Abbate, Daniel Flannery and Jamie Brodsky. Its direct owner is Breakwall Fee Partnership LP (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 1 May 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Breakwall Investment Advisor get paid?","answer":"Breakwall Investment Advisor is paid through a percentage of assets under management and performance-based fees. Its Form ADV lists no commissions among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Is Breakwall Investment Advisor registered with the SEC?","answer":"Yes, Breakwall Investment Advisor has been registered with the SEC as an investment adviser since 8 December 2023. Its CRD number is 328990 and its SEC file number is 801-129195.","source":"Form ADV Part 1A, Item 1, filed 1 May 2026; IAPD firm record","sourceRef":{"doc":"adv1","section":"identity"}},{"question":"How do I contact Breakwall Investment Advisor?","answer":"Breakwall Investment Advisor’s main office is at 921 Port Washington BLVD, Suite 8, Port Washington, NY 11050. Its phone number is 516-363-2004. Its website is breakwallcap.com.","source":"Form ADV Part 1A, Item 1.F, filed 1 May 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}