Breachway Investments, LLC

Breachway Investments provides discretionary and non-discretionary portfolio management and financial planning primarily to individual and high-net-worth clients, and also to charitable organizations and qualified retirement plans. The firm offers ERISA plan services on a limited‑scope 3(21) basis and delivers ongoing wealth management alongside hourly financial planning engagements.

The firm implements diversified asset-allocation strategies (including strategic, dynamic, tactical and core‑satellite approaches) and uses fundamental, technical and charting analysis to construct portfolios composed of equities, ETFs and fixed‑income, with additional use of options and margin where appropriate. Breachway documents client goals and monitors accounts quarterly, and its brochure discloses that margin may be utilized in managed accounts and that fees for such accounts are based on net asset value.

Compared with many peers, Breachway is a small advisory firm managing approximately $155 million with two advisors that routinely offers public educational seminars and workshops at no charge and explicitly permits borrowing in separately managed accounts—both items noted as uncommon in its peer group. The firm also discloses occasional cross‑trading of client bonds to capture mid‑spread prices and maintains internal controls (a Code of Ethics and quarterly trade reviews) to address conflicts arising from proprietary and personal trading.