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Breakwater Investment Management

Notice of Privacy Practices

Breakwater Investment Management, LLC, an investment advisory firm, is committed to safeguarding the confidential information of its clients. We do collect nonpublic personal information to provide accurate and pertinent financial and tax advice. We hold all nonpublic personal information provided to us in the strictest confidence.

Breakwater Investment Management, LLC collects personal information from the following sources:

  • Applications or other forms
  • Discussions with nonaffiliated third parties
  • Information about your transactions with us or others
  • Tax Returns
  • Estate Planning Documents
  • Insurance Policies

Breakwater Investment Management, LLC uses personal information in the following manner:

  • We do not sell any personal information to anyone, ever.
  • We limit employee and agent access to information only to those who have a business or professional reason for knowing, and only to nonaffiliated parties as permitted by law. (For example, federal regulations permit us to share a limited amount of information with a brokerage firm in order to execute securities transactions or so that our firm can discuss client financial situation with their accountant or lawyer.)
  • We will provide notice of changes in our information sharing practices. If, at any time in the future, it is necessary to disclose any personal information in a way that is inconsistent with this policy, we will give advance notice to clients of the proposed change so there is an opportunity to opt out of such disclosure.
  • We maintain a secure office and computer environment to ensure that client information is not placed at unreasonable risk.
  • For nonaffiliated third parties that require access to client personal information, including financial service companies, consultants, and auditors, we also require strict confidentiality in our agreements with them and expect them to keep this information private. Federal and state regulators also may review firm records as permitted under law.
  • We do not provide client personally identifiable information to mailing list vendors or solicitors for any purpose.
  • Personally identifiable information about clients will be maintained during the time they are a client, and the time period thereafter that such records are required by law.

Our form ADV (PDF) is a regulatory disclosure that is a great place to further research our firm. For more information or for an initial consultation, please contact us.