Breakforth Investment Management, Inc
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$18,174,000
Clients
25
32% high-net-worth
Advisors
1
of 1 employees
Firm type
Independent
1 advisor with up to 2 employees
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
25
TypicalAverage account size
$726,960
About
The firm provides personalized financial planning and investment management primarily to individual clients, covering cash flow, retirement, education, tax and estate planning as well as periodic portfolio reviews. It offers a range of engagement structures—advisory service agreements, investment management agreements, retainers, and hourly planning—and performs tax-preparation work separately on a limited-fee basis.
Portfolios are implemented using a strategic asset-allocation, core-and-satellite approach that centers passive index funds and ETFs as the core while adding individual stocks and actively managed funds where appropriate. The firm generally operates on a non-discretionary basis: clients retain final approval of investment decisions, trades are executed only with client concurrence or under a limited power of attorney, and accounts are reviewed at least quarterly.
Noteworthy features relative to peers include an explicit fee-only model with no acceptance of commissions or commissioned product sales, and the firm’s substantial reliance on non-discretionary management rather than discretionary authority. The firm also provides limited tax-return preparation as an ancillary service, a practice that is less common among similar single-advisor independent advisers.
Client services
Financial planning
Portfolio management
Expertise
General retirement planning
General tax planning
College savings (529s, UTMA, etc.)
General estate planning guidance
Fee options
Retainer Agreement fees starting at $6,000 annually, negotiable
$0 - $2,000,000: 0.75% $2,000,000 - $5,000,000: 0.50% $5,000,000+: Negotiable
$250 per hour for tax preparation and hourly planning engagements
Account minimum: $0.00 Minimum fee: Minimum annual fee is $0.00 Fee-only: Yes, fee-only financial planning and investment management firm; no commissions accepted.
Main office location
Breakforth Investment Management, Inc
Valencia PA, United States
Number of offices
1
Most active in
Breakforth Investment Management, Inc has reported serving >5 clients in these states in the last 12 months.
Pennsylvania
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is active or affiliated with:
Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Is not active or affiliated with:
-
Insurance agent
They sell insurance products and may earn commissions on those sales.
-
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
-
Bank
They're affiliated with a bank that may offer its own financial products and services.
-
Trust company
They provide trust and estate administration services, typically for separate fees.
-
Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
-
Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
-
Lawyer
They provide legal services, typically billed separately.
-
Real estate agent
They facilitate real estate transactions and may earn commissions.
Forms ADV
Not sure where to start?
We'll help you think it through — whether you ultimately need an advisor or not.
Warmer helps you compare advisors clearly — so you can choose with confidence.
Discover
Compare top advisor firms by metric, firm size, and location.
Warmer provides personalized recommendations and introductions to independent fiduciary advisors. We do not supervise advisors, manage or hold assets, guarantee performance, or provide advice about specific investments.
Each advisor listed on our site is an independent fiduciary responsible for their own advice. Warmer may receive fees from advisors for participation or referrals; these fees are paid by advisors and do not affect the fees clients pay for advisory services.
For advisor listings, we rely on sources including public filings and data provided by advisors, and we cannot guarantee that all information is current or accurate. Please review an advisor's Form ADV and do your own diligence before entering into an advisory relationship.
By using our service, you agree to Warmer's Terms of Service and Advisory Agreement and Privacy Policy. Logos provided by Logo.dev
© 2026 Warmer Holdings Inc. ("Warmer")