Breakwater Capital Group
- Regulatory AUM
- $1.0B
- Discretionary
- $1.0B
- Clients
- 370
- Avg AUM / client
- $2.8M
- Accounts
- 1,336
- Employees
- 4
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Jul 24, 2026
Investments (13F portfolio — 374 positions, $833,328,146)
13F period Jun 30, 2026| # | Issuer | Class | Value | Shares | % of 13F | % of AUM |
|---|---|---|---|---|---|---|
| 1 | J P Morgan Exchange Traded F | US QUALTY FCTR | $32,099,573 | 444,100 | 3.85% | 3.15% |
| 2 | Vanguard World Fd | MEGA CAP VAL ETF | $25,966,753 | 158,867 | 3.12% | 2.55% |
| 3 | Apple Inc | COM | $24,319,581 | 84,046 | 2.92% | 2.39% |
| 4 | Invesco Exchange Traded Fd T | RAFI US 1000 ETF | $24,100,741 | 446,062 | 2.89% | 2.36% |
| 5 | Ishares Tr | RUS 1000 GRW ETF | $23,484,315 | 189,130 | 2.82% | 2.3% |
| 6 | Invesco Exchange Traded Fd T | S&P500 EQL WGT | $20,872,470 | 98,099 | 2.5% | 2.05% |
| 7 | Ishares Tr | CORE S&P500 ETF | $19,087,173 | 25,487 | 2.29% | 1.87% |
| 8 | Blackrock Etf Trust Ii | ISHA FLEX IN ETF | $17,458,296 | 333,556 | 2.1% | 1.71% |
| 9 | Vanguard Index Fds | VALUE ETF | $16,449,074 | 75,479 | 1.97% | 1.61% |
| 10 | Ishares Tr | MSCI INTL QUALTY | $15,205,234 | 306,866 | 1.82% | 1.49% |
| 11 | Ishares Tr | RUS 1000 VAL ETF | $14,913,158 | 61,515 | 1.79% | 1.46% |
| 12 | Pimco Etf Tr | MULTISECTOR BD | $11,922,385 | 449,562 | 1.43% | 1.17% |
| 13 | Vanguard Index Fds | S&P 500 ETF SHS | $10,973,584 | 15,978 | 1.32% | 1.08% |
| 14 | Spdr Series Trust | ST STR P500GRW | $10,655,286 | 89,548 | 1.28% | 1.05% |
| 15 | Ishares Tr | FALN ANGLS USD | $10,508,167 | 385,762 | 1.26% | 1.03% |
| 16 | Schwab Strategic Tr | FUNDAMENTAL US L | $10,142,551 | 326,127 | 1.22% | 1.0% |
| 17 | Schwab Strategic Tr | FUNDAMENTAL INTL | $9,274,205 | 190,984 | 1.11% | 0.91% |
| 18 | Invesco Exch Traded Fd Tr Ii | RAFI DVLPD MRKTS | $8,978,499 | 118,700 | 1.08% | 0.88% |
| 19 | Microsoft Corp | COM | $8,869,383 | 23,777 | 1.06% | 0.87% |
| 20 | Invesco Exch Traded Fd Tr Ii | INTL BUYBACK | $8,392,799 | 148,995 | 1.01% | 0.82% |
| 21 | Columbia Etf Tr Ii | EM CORE EX ETF | $8,324,843 | 157,429 | 1.0% | 0.82% |
| 22 | Ishares Tr | RUS 1000 ETF | $7,925,672 | 19,355 | 0.95% | 0.78% |
| 23 | Vanguard Malvern Fds | STRM INFPROIDX | $7,199,401 | 143,329 | 0.86% | 0.71% |
| 24 | Amazon Com Inc | COM | $7,015,572 | 29,435 | 0.84% | 0.69% |
| 25 | Invesco Exch Traded Fd Tr Ii | S&P SMLCAP QTY | $6,762,789 | 139,859 | 0.81% | 0.66% |
Top 25 of 374 positions from the manager's latest Form 13F · source filing (EDGAR) ↗. 13F covers long US-listed positions only. "% of AUM" is share of the firm's total regulatory AUM (Form ADV Item 5.F).
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 131 | $51.1M | 5.01% |
| High net worth individuals | 239 | $968M | 95.0% |
| Corporations and other businesses | Fewer than 5 | $13.2K | 0.0% |
People (4)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Jeffrey Craig Hanson | President | CFP | Apr 2022 (4y) | ≈ 56.25% – 100% via Brewmont Capital Inc |
| Thomas Jeremiah Mullen | Chief Compliance Officer | CFP | Jul 2023 (3y) | Less than 5% |
| Madeline Rose Barconi | Registered representative | CFP Chartered Financial Consultant | Feb 2023 (3y) | |
| James M. Fonzi | Registered representative | CFA | Sep 2025 (1y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Brewmont Capital Inc | Shareholder | Jun 2023 | A | 75% or more |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Jeffrey Craig Hanson: 75% – 100% of Brewmont Capital Inc × 75% – 100% direct ≈ 56.25% – 100% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/19/2026 | 1000 KB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
- • Selection of other advisers
- • Educational seminars/workshops
Custody
Reported custodians
- Charles Schwab & Co. $1.0B (100% of AUM) Jul 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Jul 24, 2026.
View current Form ADV (SEC/IAPD) ↗