Breakwater Capital Group

Registered adviser

CIK

1964309

Location

PARAMUS, NJ

Portfolio Value

Small $752,901,580

Diversification

Diversified

Filing Date

Global Rank

#2,829 / 8,819 ▲ 38 · as of Jun 2026

Top Industry

Consumer Electronics 13.6%

Period ended 29 days ago

Filed Oct 9, 2026 · 20d

16 quarters · since Dec 2022

Regulatory profile

From Form ADV, the SEC filer profile, 13D/13G type codes and N-CEN, never from the name.

Holder type

Registered adviser

Form ADV roster, Oct 1, 2026

Form ADV adviser

CRD 321097

Roster of Oct 1, 2026

Regulatory AUM

$1,019,176,972

Main clients

Individuals and high net worth (100% of AUM)

Form ADV history

Monthly rosters from Dec 2019; each row is a run with the same figures, newest first.

Rosters	Regulatory AUM	Main clients
Apr 2026 to Oct 2026	$1,019,176,972	Individuals and high net worth (100%)
Apr 2025 to Mar 2026	$843,365,609	Individuals and high net worth (100%)
Apr 2024 to Mar 2025	$579,733,946	Individuals and high net worth (100%)
May 2023 to Mar 2024	$334,793,332	Individuals and high net worth (100%)
Feb 2023 to Apr 2023	$334,793,332	Individuals and high net worth (100%)
Oct 2022 to Jan 2023	$216,986,601	Individuals and high net worth (100%)

1 earlier changes not shown.

Portfolio style

Measured from the filed 13F common-share book for Jun 30, 2026, the newest measured quarter, never from the firm's own description.

Style

Diversified active

Top 10 weight 55.6%, 16.4 effective positions, active share 68.5% against every 13F filer's combined book; it meets none of the index-like, systematic-like or concentrated tests

Turnover

Low turnover

11.3% over the last four quarters (under 30%)

Horizon

Long horizon

Value-weighted holding period 12.6 quarters (12+)

Closest benchmark: every 13F filer's combined book, active share 68.5%; sector active share 60.9% against the combined 13F book's sector weights.

Over time 15 measured quarters

How the bands are measured

Style bands measure the filed 13F common-share book each closed quarter, tested in this order. Unknown: under $10,000,000 of valued equity or 5 stocks. Index-like (100+ stocks): active share of 20% or less against the closest benchmark, which is the S&P 500, S&P MidCap 400, S&P SmallCap 600, Russell 1000, Russell 2000, Nasdaq-100 or Dow Jones Industrial Average (weighted by an index-tracking fund's reported holdings or the index's constituents nearest the quarter end, over the names resolved to companies, and only when those are 90%+ of its weight) or every 13F filer's combined book, or index series holding 80%+ of the registered fund assets it advises (N-CEN) and equal to 50%+ of its book. Systematic-like: 500+ stocks, 100%+ annual turnover and a top 10 weight of 25% or less. Concentrated: a top 10 weight of 60%+ or 12 or fewer effective positions. Diversified active: none of these. Turnover is the smaller of buys and sells over average equity value, summed over four quarters: low under 30%, high 100%+. Horizon is the value-weighted number of quarters each position has been held: short under 4, long 12+.

Clone Performance

Build a hypothetical price-return history from this filer's public 13F holdings.

View clone backtest

Portfolio Concentration

387 tracked positions · as of Sep 30, 2026 · Δ vs Jun 30, 2026

Top Position

22.6%

+1.9 pts

Top 5

40.7%

+0.4 pts

Top 10

56.3%

+0.7 pts

HHI

676

Diversified+66

Portfolio Trend

16 quarters · across all stocks

Sector Breakdown

As of Sep 30, 2026

Sector	% Portfolio	Value	Positions
Unclassified	73.7%	$554,696,419	203
Technology	9.5%	$71,549,638	28
Financial Services	5.1%	$38,203,480	50
Industrials	3.0%	$22,495,498	24
Healthcare	2.6%	$19,886,411	29
Communication Services	2.0%	$14,895,133	9
Consumer Cyclical	1.7%	$12,752,036	9
Consumer Defensive	0.8%	$6,139,095	10
Utilities	0.6%	$4,542,749	7
Energy	0.5%	$3,844,551	9
Basic Materials	0.4%	$3,120,726	6
Real Estate	0.1%	$775,844	3

Last Quarter's Activity

Export CSV

Sep 30, 2026 vs Jun 30, 2026

Added To

Positions the filer increased

25 positions

Ticker	Company	Δ Shares	Shares	Value
FLXR		+217,019	225,392	$8,549,118
AOHY	Angel Oak	+134,274	246,528	$2,630,453
PYLD		+62,490	512,052	$13,001,000
NAN	Nuveen New York Quality Municipal Income Fund	+55,739	68,842	$676,028
SPIB	State Street(R) SPDR(R) Portfolio Intermediate Term Corporate Bond ETF	+42,905	201,557	$6,506,259
FNDX	Schwab Fundamental U.S. Large Company ETF	+42,241	368,368	$11,592,540
GMUB	Goldman Sachs Municipal Income ETF	+33,371	39,828	$1,943,606
MUJ	Blackrock Muniholdings New Jersey Quality Fund, Inc.	+30,996	270,992	$3,056,789
JPIE	JPMorgan Income ETF	+30,848	43,912	$1,971,209
FESM	Fidelity Enhanced Small Cap Core ETF	+20,604	137,686	$6,188,985
HYDB	iShares High Yield Systematic Bond ETF	+18,057	27,728	$1,246,650
IQLT	iShares MSCI Intl Quality Factor ETF	+17,896	324,762	$16,065,976
CLOA		+12,384	23,756	$1,232,508
PXF	Invesco RAFI Developed Markets ex-U.S. ETF	+11,922	130,622	$9,957,315
IPKW	Invesco Ltd.	+11,013	160,008	$0
SCMB	Schwab Municipal Bond ETF	+10,963	22,272	$538,091
FDHY	Fidelity Enhanced High Yield ETF	+10,785	25,691	$1,220,322
JAAA	Janus Henderson AAA CLO ETF	+10,340	90,953	$4,590,397
DFEV	Dimensional Emerging Markets Value ETF	+9,968	159,781	$6,774,714
DFAI	Dimensional International Core Equity Market ETF	+9,933	146,411	$6,065,807
NRK	Nuveen New York Amt-Free Quality Municipal Income Fund	+9,743	53,829	$497,379
PFIG	Invesco Fundamental Investment Grade Corporate Bond ETF	+9,114	50,586	$1,166,007
PAAA	PGIM AAA CLO ETF	+8,767	57,050	$2,926,094
JQUA	JPMorgan U.S. Quality Factor ETF	+8,394	452,494	$33,394,057
ANGL	VanEck Fallen Angel High Yield Bond ETF	+7,677	130,176	$3,620,194
No positions match the current search.

Trimmed

Positions the filer reduced

25 positions

Ticker	Company	Δ Shares	Shares	Value
SPBO	State Street(R) SPDR Portfolio Corporate Bond ETF	−86,818	53,431	$1,468,818
MTBA	Simplify MBS ETF	−80,296	15,095	$705,842
BINC		−74,167	259,389	$13,174,367
IGEB	iShares Investment Grade Systematic Bond ETF	−68,949	66,869	$2,861,324
NUV	Nuveen Municipal Value Fund Inc	−65,802	124,066	$1,028,507
MYN	Blackrock Muniyield New York Quality Fund, Inc.	−59,854	56,389	$493,967
PHYL	PGIM Active High Yield Bond ETF	−51,832	28,899	$966,093
—		−44,351	16,086	$0
HYMB	State Street(R) SPDR Nuveen ICE High Yield Municipal Bond ETF	−37,770	19,267	$452,196
NXP	Nuveen Select Tax Free Income Portfolio	−18,969	31,368	$421,272
NEA	Nuveen AMT-Free Quality Municipal Income Fund	−16,768	121,950	$1,213,402
PFE	Pfizer Inc	−14,817	52,094	$1,485,720
MUNI	PIMCO Intermediate Municipal Bond Active Exchange-Traded Fund	−14,000	25,868	$1,285,380
MUB	iShares National Muni Bond ETF	−11,622	6,751	$682,526
BRTR		−9,586	33,712	$1,612,748
HYD	VanEck High Yield Muni ETF	−8,491	4,698	$225,644
VTEB	VANGUARD TAX-EXEMPT BOND INDEX FUND	−6,534	16,272	$770,641
FALN	iShares Fallen Angels USD Bond ETF	−5,855	379,907	$9,850,988
PRF	Victory Portfolios II	−5,786	440,276	$0
VCRM	Vanguard Municipal Bond Funds	−5,566	4,794	$343,106
NAD	Nuveen Quality Municipal Income Fund	−5,501	119,899	$1,213,377
IEF	iShares 7-10 Year Treasury Bond ETF	−5,063	2,507	$223,900
NUW	Nuveen AMT-Free Municipal Value Fund	−5,018	58,187	$770,977
GD	General Dynamics Corp	−4,741	2,039	$676,601
SYLD	Cambria Shareholder Yield ETF	−3,558	66,500	$5,359,235
No positions match the current search.

New Positions

Positions the filer opened this quarter

25 positions

Ticker	Company	Shares	Value
PLTR	Palantir Technologies Inc.	9,855	$1,843,377
MQY	Blackrock Muniyield Quality Fund, Inc.	104,494	$1,037,625
MBSF	REGAN FLOATING RATE MBS ETF	29,684	$754,270
STPZ	PIMCO 1-5 Year U.S. TIPS Index Exchange-Traded Fund	13,358	$692,879
REIT	ALPS Active REIT ETF	22,466	$637,540
HON	Honeywell International Inc	2,748	$579,663
PSLV	Sprott Physical Silver Trust	26,050	$504,588
PHYS	Sprott Physical Gold Trust	14,566	$455,478
USHY	iShares Broad USD High Yield Corporate Bond ETF	9,913	$354,092
FANG	Diamondback Energy, Inc.	1,863	$342,438
SCHP	Schwab U.S. TIPS ETF	12,582	$316,185
MRNA	Moderna, Inc.	1,579	$304,068
HONA	Honeywell Aerospace Inc.	1,924	$298,162
IGSB	iShares 1-5 Year Investment Grade Corporate Bond ETF	5,815	$297,902
CL	Colgate Palmolive Co	3,212	$274,047
FLMI	Franklin Dynamic Municipal Bond ETF	11,124	$259,411
MPC	Marathon Petroleum Corp	632	$249,905
ILMN	Illumina, Inc.	887	$242,754
GVAL	Cambria Global Value ETF	6,354	$240,435
GLD	Spdr Gold Trust	590	$224,695
VBK	VANGUARD SMALL-CAP GROWTH INDEX FUND	655	$221,278
IMO	Imperial Oil Ltd	1,782	$219,275
SCHF	Schwab International Equity ETF	7,629	$209,568
NYF	iShares New York Muni Bond ETF	4,124	$208,344
PANW	Palo Alto Networks Inc	518	$205,806
No positions match the current search.

Sold Out

Positions the filer fully exited

15 positions

Ticker	Company	Shares	Value
XOM	ExxonMobil Holdings Corp	28,358	$3,877,105
VSDM	VANGUARD SHORT DURATION TAX-EXEMPT BOND ETF	8,864	$679,248
JMBS	Janus Henderson Mortgage-Backed Securities ETF	8,612	$387,453
CARR	CARRIER GLOBAL Corp	3,646	$267,434
MBB	iShares MBS ETF	2,598	$245,562
MPA	Blackrock Muniyield Pennsylvania Quality Fund	20,917	$237,826
AEP	American Electric Power Co Inc	1,671	$228,609
CGCP	Capital Group Core Plus Income ETF	9,936	$221,473
WSO	Watsco Inc	520	$216,699
NI	Nisource Inc.	4,532	$215,496
ETR	Entergy Corp	1,836	$210,882
USMV	iShares MSCI USA Min Vol Factor ETF	2,179	$210,186
DGRW	WisdomTree U.S. Quality Dividend Growth Fund	2,161	$206,634
CMI	Cummins Inc	285	$203,264
RXRX	Recursion Pharmaceuticals, Inc.	10,089	$37,026
No positions match the current search.

Portfolio Positions

Compact Export CSV View 13F filing

387 tracked positions · $752,901,580 total · filing declares 392 positions · $844,116,995 · as of Sep 30, 2026

All sectors Basic Materials Communication Services Consumer Cyclical Consumer Defensive Energy Financial Services Healthcare Industrials Real Estate Technology Utilities

Showing 1–50 of 387 positions by value · page 1 of 8

Ticker	Company	Type	Shares	Δ Shares	Value (USD)	% Δ Value	% of Portfolio
JQUA	JPMorgan U.S. Quality Factor ETF	Added	452,494	+8,394	$33,394,057	+4.0%	4.44%
AAPL	Apple Inc. PUT + SHARES Technology	Reduced	80,930	-3,116	$26,951,308	+10.8%	3.58%
MGV	VANGUARD MORNINGSTAR MEGA CAP VALUE INDEX FUND	Added	164,589	+5,722	$26,513,642	+2.1%	3.52%
IWF	iShares Russell 1000 Growth ETF	Added	195,640	+6,510	$24,505,866	+4.4%	3.25%
IVV	iShares Core S&P 500 ETF	Added	25,609	+122	$19,612,652	+2.8%	2.60%
VTV	VANGUARD VALUE INDEX FUND	Added	75,541	+62	$16,322,899	−0.8%	2.17%
IQLT	iShares MSCI Intl Quality Factor ETF	Added	324,762	+17,896	$16,065,976	+5.7%	2.13%
IWD	iShares Russell 1000 Value ETF	Reduced	60,249	-1,266	$14,937,534	+0.2%	1.98%
BINC		Reduced	259,389	-74,167	$13,174,367	−24.5%	1.75%
PYLD		Added	512,052	+62,490	$13,001,000	+9.0%	1.73%
MSFT	Microsoft Corp PUT + SHARES Technology	Added	24,104	+327	$12,362,941	+39.4%	1.64%
FNDX	Schwab Fundamental U.S. Large Company ETF	Added	368,368	+42,241	$11,592,540	+14.3%	1.54%
VOO	VANGUARD 500 INDEX FUND	Reduced	15,963	-15	$11,187,828	+1.9%	1.49%
SPYG	State Street(R) SPDR(R) Portfolio S&P 500(R) Growth ETF	Added	89,907	+359	$11,065,753	+3.9%	1.47%
PXF	Invesco RAFI Developed Markets ex-U.S. ETF	Added	130,622	+11,922	$9,957,315	+10.9%	1.32%
FALN	iShares Fallen Angels USD Bond ETF	Reduced	379,907	-5,855	$9,850,988	−6.3%	1.31%
FNDC	Schwab Fundamental International Small Equity ETF	Added	196,307	+5,323	$9,781,977	+5.5%	1.30%
FLXR		Added	225,392	+217,019	$8,549,118	+2504.0%	1.14%
IWB	iShares Russell 1000 ETF	Added	19,645	+290	$8,174,873	+3.1%	1.09%
XCEM	Columbia EM Core ex-China ETF	Added	158,266	+837	$8,136,455	−2.3%	1.08%
NVDA	Nvidia Corp PUT + SHARES Technology	Added	32,546	+2,075	$7,432,855	+21.9%	0.99%
AMZN	Amazon Com Inc Consumer Cyclical	Added	29,656	+221	$7,388,792	+5.3%	0.98%
VTIP	VANGUARD SHORT-TERM INFLATION-PROTECTED SECURITIES INDEX FUND	Added	148,807	+5,478	$7,324,280	+1.7%	0.97%
DFEV	Dimensional Emerging Markets Value ETF	Added	159,781	+9,968	$6,774,714	+6.0%	0.90%
QUAL	iShares MSCI USA Quality Factor ETF	Reduced	29,547	-397	$6,566,525	−0.1%	0.87%
SPIB	State Street(R) SPDR(R) Portfolio Intermediate Term Corporate Bond ETF	Added	201,557	+42,905	$6,506,259	+22.6%	0.86%
AVEM	Avantis Emerging Markets Equity ETF	Added	69,083	+7,218	$6,495,183	+8.8%	0.86%
XSHQ	Invesco S&P SmallCap Quality ETF	Added	140,087	+228	$6,292,708	−7.0%	0.84%
FESM	Fidelity Enhanced Small Cap Core ETF	Added	137,686	+20,604	$6,188,985	+9.5%	0.82%
DFAI	Dimensional International Core Equity Market ETF	Added	146,411	+9,933	$6,065,807	+7.7%	0.81%
EZM	WisdomTree U.S. MidCap Fund	Added	81,381	+3,595	$5,830,134	−1.1%	0.77%
TT	Trane Technologies plc Industrials	Added	12,848	+205	$5,807,039	−6.5%	0.77%
DFIV	Dimensional International Value ETF	Reduced	100,137	-240	$5,593,652	+3.2%	0.74%
GOOG	Alphabet Inc. Communication Services	Reduced	16,091	-277	$5,482,847	−5.2%	0.73%
SYLD	Cambria Shareholder Yield ETF	Reduced	66,500	-3,558	$5,359,235	−3.3%	0.71%
EFG	iShares MSCI EAFE Growth ETF	Added	43,543	+2,058	$5,217,757	+1.1%	0.69%
IJH	iShares Core S&P Mid-Cap ETF	Added	71,389	+1,870	$5,136,438	−4.2%	0.68%
MGK	VANGUARD MEGA CAP GROWTH INDEX FUND	Added	54,840	+952	$5,080,926	+7.3%	0.67%
IUSV	iShares Core S&P U.S. Value ETF	Reduced	44,153	-720	$4,869,192	−1.5%	0.65%
MDY	Spdr S&P Midcap 400 ETF Trust	Added	7,339	+42	$4,819,594	−6.1%	0.64%
IVW	iShares S&P 500 Growth ETF	Added	32,352	+1,610	$4,602,395	+8.9%	0.61%
JAAA	Janus Henderson AAA CLO ETF	Added	90,953	+10,340	$4,590,397	+12.8%	0.61%
IGIB	iShares 5-10 Year Investment Grade Corporate Bond ETF	Added	86,310	+3,138	$4,345,708	−1.7%	0.58%
SPY	Spdr S&P 500 ETF Trust	Added	5,678	+69	$4,330,213	+3.4%	0.58%
JPM	Jpmorgan Chase & Co Financial Services	Reduced	12,797	-1,207	$4,233,631	−7.6%	0.56%
VCIT	VANGUARD INTERMEDIATE-TERM CORPORATE BOND INDEX FUND	Added	49,966	+3,518	$3,912,837	+1.9%	0.52%
IJR	iShares Core S&P Small-Cap ETF	Added	28,513	+320	$3,878,908	−7.2%	0.52%
DFAE	Dimensional Emerging Core Equity Market ETF	Added	94,948	+3,307	$3,732,405	+1.3%	0.50%
BRK-B	Berkshire Hathaway Inc Financial Services	Reduced	7,302	-223	$3,636,030	−3.4%	0.48%
ANGL	VanEck Fallen Angel High Yield Bond ETF	Added	130,176	+7,677	$3,620,194	+1.1%	0.48%

Showing the top 50 of 387 positions. Create a free account to see every position, past quarters, search, filters and CSV export.

Covers the securities this platform tracks: U.S.-listed common stock and the put/call positions reported on it. A 13F can also report security types outside that coverage — preferred shares, bonds, warrants, untracked share classes — so the filing's own declared total can exceed the figures above. The source filing is linked at the top of this table.