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Breakwater Disclosures Page


Breakwater Financial LLC ("Breakwater") is a Registered Investment Advisor ("RIA"). Breakwater provides investment advisory and related services for clients in Massachusetts and other states. Breakwater will maintain all applicable registrations as required by the various states in which Breakwater conducts business. Breakwater renders individualized responses to persons in a particular state only after complying with all regulatory requirements or pursuant to an applicable state exemption or exclusion.

This web site is intended to provide general information about Breakwater. It is not intended to offer investment advice. Information regarding investment products and services are provided solely to read about our investment philosophy, our strategies and to be able to contact us for further information.

Market data, articles and other content on this web site are based on generally-available information and are believed to be reliable. Breakwater does not guarantee the accuracy of the information contained in this web site. The information is of a general nature and should not be construed as investment advice. 

Breakwater will provide all prospective clients with a copy of our current Form ADV, Part 2A ("Disclosure Brochure") and the Brochure Supplement for each advisory person supporting a particular client. The Disclosure Brochure and Supplement are updated at least annually and also available on the SEC website at http://adviserinfo.sec.gov. You you may Contact Us to request a copy at any time.

If you have any questions regarding Compliance and Regulatory information, please Contact Us.

Email Disclosures

Breakwater often communicates with its clients and prospective clients through email and other electronic means. Your privacy and security are very important to us. Breakwater makes every effort to ensure that email communications do not contain sensitive information. We remind our clients and others not to send Breakwater your private information over email. If you have sensitive data to deliver, we can provide secure means for such delivery.

Please note: Breakwater does not accept trading or money movement instructions via email.

As a registered investment advisor, Breakwater emails are subject to inspection by the Chief Compliance Officer of Breakwater and the Commonwealth of Massachusetts. 

If you have received an email from Breakwater in error, we ask that you contact the sender and destroy the the email and its contents.

For a copy of the Breakwater Privacy Policy, please Contact Us.

If you have any questions regarding our email policies, please Contact Us.

Social Websites

Breakwater may utilize third-party websites that include social media websites, blogs and other interactive content. Breakwater considers all interactions with clients, prospective clients and the general public on these sites to be advertisements under the securities regulations. As such, Breakwater may retain a copy of information that Breakwater or third-parties may contribute to such sites. This information is subject to review and inspection by the CCO of Breakwater or the Commonwealth of Massachusetts.

Information provided on these sites is for informational and/or educational purposes only and is not, in any way, to be considered investment advice nor a recommendation of any investment product. Advice may only be provided by Breakwater’s advisory persons after entering into an advisory agreement and provided Breakwater with all requested information about your background.

If you have any questions regarding our social media policies, please Contact Us.