Breakwater Investment Management
Holdings as of 2026-09-30, filed 2026-10-20 · recorded 2026-10-21 03:50:25.472 UTC
This is history, not a current position. These holdings describe 2026-09-30, and the report became public 20 days later. The portfolio has changed since.
Aggregates
computed from the positions belowPositions reported
774
Value reported by manager
$301.7M
Sum of our stored positions
$301.7M
should match the line above
Disclosure lag
20 d
quarter end to filing
Top 5 concentration
36.3%
of the positions shown
New positions
246
vs previous quarter
Exited
72
vs previous quarter
Option positions
0
puts and calls
Positions
200 largest shown| Issuer | Class | Value | Shares | Type | CUSIP |
|---|---|---|---|---|---|
| VANGUARD INDEX FDS | MRNGSTR TTL STK | $39.1M | 104,534 | — | 922908769 |
| SCHWAB STRATEGIC TR | US BRD MKT ETF | $23.4M | 797,579 | — | 808524102 |
| VANGUARD STAR FDS | VG TL INTL STK F | $18.7M | 219,606 | — | 921909768 |
| SPDR SERIES TRUST | ST STR PR SP1500 | $14.4M | 156,111 | — | 78464A805 |
| MICROSOFT CORP | COM | $13.6M | 26,450 | — | 594918104 |
| SCHWAB STRATEGIC TR | INTL EQTY ETF | $9M | 328,383 | — | 808524805 |
| SCHWAB STRATEGIC TR | CORE BOND ETF | $8.5M | 347,825 | — | 808524599 |
| VANGUARD INTL EQUITY INDEX F | ALLWRLD EX US | $7.3M | 88,566 | — | 922042775 |
| VANGUARD MALVERN FDS | CORE BD ETF | $6.6M | 90,088 | — | 922020748 |
| SSGA ACTIVE TR | SST BRIDGEWATER | $6.5M | 226,694 | — | 78470P630 |
| VANGUARD BD INDEX FDS | TOTAL BND MRKT | $6.5M | 92,262 | — | 921937835 |
| STATE STR SPDR S&P 500 ETF T | TR UNIT | $6.5M | 8,474 | — | 78462F103 |
| VANGUARD INTL EQUITY INDEX F | TT WRLD ST ETF | $6.4M | 40,260 | — | 922042742 |
| VANGUARD INTL EQUITY INDEX F | FTSE EMR MKT ETF | $5.4M | 91,264 | — | 922042858 |
| VANGUARD WORLD FD | MRNGSTR MEGA CAP | $5M | 54,339 | — | 921910816 |
| VANGUARD WHITEHALL FDS | HIGH DIV YLD | $5M | 32,431 | — | 921946406 |
| VANGUARD CHARLOTTE FDS | TOTAL INT BD ETF | $5M | 106,210 | — | 92203J407 |
| AMAZON COM INC | COM | $4.7M | 18,948 | — | 023135106 |
| VANGUARD SPECIALIZED FUNDS | DIV APP ETF | $4.6M | 19,905 | — | 921908844 |
| SPDR SERIES TRUST | ST STR AGGRE ETF | $4.3M | 175,673 | — | 78464A649 |
| SCHWAB STRATEGIC TR | US DIVIDEND EQ | $3.6M | 110,839 | — | 808524797 |
| SPDR INDEX SHS FDS | ST PORT MARK ETF | $3.5M | 67,034 | — | 78463X509 |
| SPDR SERIES TRUST | ST STR USD ETF | $3.4M | 141,974 | — | 78468R515 |
| VANGUARD WORLD FD | MRNGSTR VAL ETF | $3.3M | 20,339 | — | 921910840 |
| VANGUARD WHITEHALL FDS | INTL HIGH ETF | $3.3M | 32,306 | — | 921946794 |
| SSGA ACTIVE TR | STATE STREET IG | $3.2M | 134,389 | — | 78470P622 |
| SSGA ACTIVE TR | ST STR BLACK ETF | $3.1M | 113,375 | — | 78470P846 |
| SPDR INDEX SHS FDS | ST STR PO EX ETF | $3M | 59,130 | — | 78463X889 |
| SPDR SERIES TRUST | ST STR NUVEE ETF | $2.9M | 67,225 | — | 78468R721 |
| SCHWAB STRATEGIC TR | US AGGREGATE B | $2.6M | 117,250 | — | 808524839 |
| ISHARES TR | CORE INTL AGGR | $2.6M | 52,492 | — | 46435G672 |
| VANGUARD SCOTTSDALE FDS | SHORT TERM TREAS | $2.5M | 43,417 | — | 92206C102 |
| SSGA ACTIVE ETF TR | ST STR REAL ETF | $2.3M | 62,222 | — | 78467V103 |
| SCHWAB STRATEGIC TR | INTL SCEQT ETF | $2.2M | 43,940 | — | 808524888 |
| SCHWAB STRATEGIC TR | EMRG MKTEQ ETF | $2.1M | 56,632 | — | 808524706 |
| SPDR SERIES TRUST | SST SPDR BLOOMBE | $2M | 95,168 | — | 78464A391 |
| VANGUARD MUN BD FDS | TAX EXEMPT BD | $1.9M | 39,467 | — | 922907746 |
| SPDR INDEX SHS FDS | ST STR INFRA ETF | $1.8M | 25,682 | — | 78463X855 |
| VANGUARD WHITEHALL FDS | EM MK GOV BD ETF | $1.8M | 28,378 | — | 921946885 |
| VANGUARD INDEX FDS | MRNGSTR GRWT ETF | $1.7M | 18,881 | — | 922908736 |
| SCHWAB STRATEGIC TR | SHT TM US TRES | $1.6M | 68,499 | — | 808524862 |
| VANGUARD INTL EQUITY INDEX F | FTSE EUROPE ETF | $1.5M | 17,279 | — | 922042874 |
| ALPHABET INC | CAP STK CL A | $1.5M | 4,305 | — | 02079K305 |
| SCHWAB STRATEGIC TR | US TIPS ETF | $1.5M | 58,940 | — | 808524870 |
| VANGUARD INDEX FDS | REAL ESTATE ETF | $1.4M | 16,146 | — | 922908553 |
| VANGUARD WHITEHALL FDS | INTL DVD ETF | $1.4M | 14,769 | — | 921946810 |
| SPDR SERIES TRUST | ST SHO TREAS ETF | $1.4M | 47,290 | — | 78468R101 |
| SCHWAB STRATEGIC TR | US LRG CAP ETF | $1.3M | 43,446 | — | 808524201 |
| VANGUARD INDEX FDS | MRNGSTR VAL ETF | $1.3M | 5,792 | — | 922908744 |
| VANGUARD MALVERN FDS | STRM INFPROIDX | $1.2M | 24,993 | — | 922020805 |
| VANGUARD TAX-MANAGED FDS | VAN FTSE DEV MKT | $1.2M | 17,208 | — | 921943858 |
| ISHARES TR | US TREAS BD ETF | $1.2M | 52,973 | — | 46429B267 |
| ISHARES INC | EURO HIGH YIELD | $1.1M | 21,331 | — | 464286210 |
| VANGUARD WORLD FD | MRNGSTR CAP ETF | $1.1M | 3,890 | — | 921910873 |
| VANGUARD ADMIRAL FDS INC | SMLLCP 600 IDX | $1.1M | 8,464 | — | 921932828 |
| SPDR GOLD TR | GOLD SHS | $1.1M | 2,792 | — | 78463V107 |
| SCHWAB STRATEGIC TR | US REIT ETF | $1M | 47,609 | — | 808524847 |
| VANGUARD INDEX FDS | MRNGSTR LRG CAP | $1M | 2,939 | — | 922908637 |
| ISHARES TR | 0-5 YR TIPS ETF | $973.2K | 9,761 | — | 46429B747 |
| SCHWAB STRATEGIC TR | MUN BD ETF | $941.8K | 38,983 | — | 808524649 |
| J P MORGAN EXCHANGE TRADED F | BETA EURO ET NE | $914.6K | 12,083 | — | 46641Q191 |
| TCW ETF TRUST | TRANSFRM 500 ETF | $906K | 10,060 | — | 29287L106 |
| VANECK ETF TRUST | COMMODITY STGY | $805.7K | 9,822 | — | 92189H771 |
| VANGUARD INTL EQUITY INDEX F | GLB EX US ETF | $717.4K | 16,871 | — | 922042676 |
| APPLE INC | COM | $581.1K | 1,745 | — | 037833100 |
| ISHARES INC | JP MORGAN EM ETF | $562.6K | 13,316 | — | 464286517 |
| J P MORGAN EXCHANGE TRADED F | JPMORGAN INTL VL | $521.7K | 5,479 | — | 46654Q757 |
| VANGUARD BD INDEX FDS | SHORT TRM BOND | $480.2K | 6,285 | — | 921937827 |
| ISHARES TR | MSCI AC ASIA ETF | $476.2K | 4,090 | — | 464288182 |
| SPDR SERIES TRUST | ST SHOR CORP ETF | $469.2K | 15,857 | — | 78464A474 |
| VANGUARD SCOTTSDALE FDS | INTER TERM TREAS | $441.6K | 7,794 | — | 92206C706 |
| ALPHABET INC | CAP STK CL C | $424.2K | 1,245 | — | 02079K107 |
| VANGUARD BD INDEX FDS | INTERMED TERM | $420.9K | 5,777 | — | 921937819 |
| ISHARES TR | RUSSELL 2000 ETF | $417.9K | 1,504 | — | 464287655 |
| PALANTIR TECHNOLOGIES INC | CL A | $394.9K | 2,111 | — | 69608A108 |
| PIMCO ETF TR | 1-5 US TIP IDX | $371.1K | 7,155 | — | 72201R205 |
| VANGUARD SCOTTSDALE FDS | TOTAL CORP BND | $360K | 4,946 | — | 92206C573 |
| ISHARES TR | CORE S&P500 ETF | $329.3K | 430 | — | 464287200 |
| NVIDIA CORPORATION | COM | $325.2K | 1,424 | — | 67066G104 |
| INVESCO EXCHANGE TRADED FD T | RAFI US 1000 ETF | $304.8K | 5,600 | — | 46137V613 |
| ISHARES TR | GLOBAL 100 ETF | $286.6K | 1,990 | — | 464287572 |
| SCHWAB STRATEGIC TR | FUNDAMENTAL US B | $273.7K | 8,943 | — | 808524789 |
| ISHARES TR | NATIONAL MUN ETF | $272.8K | 2,698 | — | 464288414 |
| OMEROS CORP | COM | $267.5K | 14,048 | — | 682143102 |
| SCHWAB STRATEGIC TR | US SML CAP ETF | $262.5K | 8,046 | — | 808524607 |
| ISHARES TR | GL TIMB FORE ETF | $239.9K | 3,569 | — | 464288174 |
| VANGUARD WORLD FD | INF TECH ETF | $238.3K | 1,896 | — | 92204A702 |
| ISHARES TR | SELECT DIVID ETF | $235.4K | 1,548 | — | 464287168 |
| EXXONMOBIL HOLDINGS CORP | COM SHS | $234.4K | 1,440 | — | 30233Q108 |
| ISHARES S&P GSCI COMMODITY- | UNIT BEN INT | $232.4K | 6,534 | — | 46428R107 |
| STATE STR SPDR S&P MIDCAP 40 | UTSER1 S&PDCRP | $229.2K | 349 | — | 78467Y107 |
| GARMIN LTD | SHS | $227.5K | 793 | — | H2906T109 |
| ISHARES TR | CORE UNIVRSL USD | $224.8K | 5,098 | — | 46434V613 |
| SPDR SERIES TRUST | ST STR P500ETF | $218.7K | 2,436 | — | 78464A854 |
| THERMO FISHER SCIENTIFIC INC | COM | $212.3K | 315 | — | 883556102 |
| ISHARES INC | MSCI STH KOR ETF | $211.7K | 1,158 | — | 464286772 |
| ISHARES TR | MSCI EMG MKT ETF | $210.1K | 3,145 | — | 464287234 |
| WALMART INC | COM | $208K | 2,002 | — | 931142103 |
| WISDOMTREE TR | US QTLY DIV GRT | $201.9K | 2,076 | — | 97717X669 |
| SPDR SERIES TRUST | ST PORT HIGH ETF | $190.4K | 8,428 | — | 78468R606 |
| META PLATFORMS INC | CL A | $187.8K | 259 | — | 30303M102 |
| INTUITIVE SURGICAL INC | COM NEW | $184.2K | 453 | — | 46120E602 |
| VANGUARD INDEX FDS | MRNGSTR SML CAP | $173.8K | 611 | — | 922908751 |
| SCHWAB STRATEGIC TR | FUNDAMENTAL US L | $169.6K | 5,388 | — | 808524771 |
| VANGUARD WORLD FD | INDUSTRIAL ETF | $166K | 518 | — | 92204A603 |
| VANGUARD SCOTTSDALE FDS | INT-TERM CORP | $165.9K | 2,118 | — | 92206C870 |
| SPDR SERIES TRUST | ST STR SP HOME | $165.2K | 1,720 | — | 78464A888 |
| SCHWAB STRATEGIC TR | FUNDAMENTAL INTL | $161.9K | 3,013 | — | 808524755 |
| ISHARES INC | CORE MSCI EMKT | $159.7K | 1,968 | — | 46434G103 |
| INVESCO QQQ TR | UNIT SER 1 | $153.9K | 208 | — | 46090E103 |
| VANGUARD INTL EQUITY INDEX F | FTSE PACIFIC ETF | $153.1K | 1,322 | — | 922042866 |
| ISHARES TR | JPMORGAN USD EMG | $150.4K | 1,656 | — | 464288281 |
| VANGUARD INDEX FDS | S&P 500 ETF SHS | $148.6K | 212 | — | 922908363 |
| SPDR SERIES TRUST | ST STR CORPO ETF | $145.6K | 5,296 | — | 78464A144 |
| VANGUARD INTL EQUITY INDEX F | FTSE SMCAP ETF | $145.4K | 936 | — | 922042718 |
| STARBUCKS CORP | COM | $134.2K | 1,428 | — | 855244109 |
| BANK OF AMER CORP | COM | $132.3K | 2,430 | — | 060505104 |
| FLUOR CORP | COM | $129.3K | 2,700 | — | 343412102 |
| AMERIPRISE FINL INC | COM | $129K | 262 | — | 03076C106 |
| VANGUARD SCOTTSDALE FDS | SHRT TRM CORP BD | $126.8K | 1,641 | — | 92206C409 |
| HILTON WORLDWIDE HLDGS INC | COM | $125.3K | 394 | — | 43300A203 |
| ISHARES TR | FUTU AI TECH ETF | $124.6K | 1,591 | — | 46435U556 |
| VANECK ETF TRUST | SEMICONDUCTR ETF | $112.7K | 185 | — | 92189F676 |
| ISHARES TR | MSCI EAFE ETF | $110.1K | 1,060 | — | 464287465 |
| ISHARES TR | GLOB HLTHCRE ETF | $105.8K | 1,036 | — | 464287325 |
| ISHARES INC | MSCI TAIWAN ETF | $105.6K | 935 | — | 46434G772 |
| ROCKWELL AUTOMATION INC | COM | $98.8K | 227 | — | 773903109 |
| ISHARES TR | GLOBAL REIT ETF | $96.7K | 3,751 | — | 46434V647 |
| ISHARES GOLD TR | ISHARES NEW | $96.6K | 1,237 | — | 464285204 |
| CISCO SYS INC | COM | $95.7K | 889 | — | 17275R102 |
| WISDOMTREE TR | YIELD ENHANCD US | $95K | 2,308 | — | 97717X511 |
| CHEVRON CORPORATION | COM | $94.8K | 464 | — | 166764100 |
| ISHARES TR | CORE US AGGBD ET | $94.4K | 999 | — | 464287226 |
| MASTERCARD INCORPORATED | CL A | $94.3K | 171 | — | 57636Q104 |
| SCHWAB STRATEGIC TR | FUND EM EQUI ETF | $93.6K | 2,236 | — | 808524730 |
| SPDR SERIES TRUST | ST POR TREAS ETF | $91.8K | 3,183 | — | 78468R457 |
| SPDR SERIES TRUST | ST INTER ETF | $90.4K | 3,314 | — | 78464A672 |
| SCHWAB STRATEGIC TR | US MID-CAP ETF | $86.8K | 2,550 | — | 808524508 |
| ISHARES TR | CORE MSCI TOTAL | $86.4K | 910 | — | 46432F834 |
| BROADCOM INC | COM | $77.6K | 221 | — | 11135F101 |
| INTERCONTINENTAL EXCHANGE IN | COM | $75.6K | 497 | — | 45866F104 |
| ELI LILLY & CO | COM | $75.2K | 65 | — | 532457108 |
| VANGUARD INDEX FDS | MRNGSTR SML CP V | $74.2K | 321 | — | 922908611 |
| HOME DEPOT INC | COM | $73.7K | 259 | — | 437076102 |
| ISHARES TR | CORE S&P TTL STK | $73.5K | 442 | — | 464287150 |
| SCHWAB STRATEGIC TR | INT-TRM U.S TRES | $71.9K | 3,032 | — | 808524854 |
| ADOBE INC | COM | $68.9K | 287 | — | 00724F101 |
| TJX COS INC NEW | COM | $67.9K | 513 | — | 872540109 |
| LOWES COS INC | COM | $66.5K | 361 | — | 548661107 |
| BOEING CO | COM | $66K | 355 | — | 097023105 |
| VANGUARD CALIF TAX FREE FDS | TAX EXEMPT BD FD | $65.8K | 698 | — | 922021605 |
| COSTCO WHOLESALE CORPORATION | COM | $65.5K | 72 | — | 22160K105 |
| ISHARES TR | S&P MC 400VL ETF | $63.8K | 463 | — | 464287705 |
| ECOLAB INC | COM | $63.4K | 231 | — | 278865100 |
| ISHARES TR | GLB INFRASTR ETF | $62.6K | 1,016 | — | 464288372 |
| DANAHER CORP DEL | COM | $60.9K | 275 | — | 235851102 |
| PROCTER & GAMBLE CO | COM | $55.8K | 384 | — | 742718109 |
| ISHARES INC | MSCI PAC JP ETF | $55.3K | 1,005 | — | 464286665 |
| VANGUARD INDEX FDS | MRNGSTR MID CAP | $52.4K | 668 | — | 922908629 |
| JOHNSON & JOHNSON | COM | $50.8K | 192 | — | 478160104 |
| ISHARES TR | CORE MSCI EAFE | $50.3K | 519 | — | 46432F842 |
| VANGUARD INDEX FDS | MRNGSTR SM CP GR | $48.2K | 143 | — | 922908595 |
| ARK ETF TR | NEXT GEN TECH | $48K | 300 | — | 00214Q401 |
| ISHARES TR | CORE S&P US GWT | $47.5K | 245 | — | 464287671 |
| SCHWAB STRATEGIC TR | INTERNL DIVID | $45.9K | 1,463 | — | 808524672 |
| ACCENTURE PLC IRELAND | SHS CLASS A | $45.3K | 247 | — | G1151C101 |
| ISHARES TR | 1 3 YR TREAS BD | $44.9K | 553 | — | 464287457 |
| INVESCO EXCH TRADED FD TR II | EMRNG MKT SVRG | $44.3K | 2,230 | — | 46138E784 |
| SCHWAB STRATEGIC TR | 1000 INDEX ETF | $43K | 1,174 | — | 808524722 |
| ISHARES TR | EAFE VALUE ETF | $41.8K | 528 | — | 464288877 |
| ORACLE CORP | COM | $40.9K | 298 | — | 68389X105 |
| ISHARES INC | MSCI EURZONE ETF | $38.9K | 577 | — | 464286608 |
| ISHARES TR | MSCI ACWI EX US | $38.6K | 510 | — | 464288240 |
| LOCKHEED MARTIN CORP | COM | $37.2K | 73 | — | 539830109 |
| ISHARES TR | MSCI ACWI ETF | $36.8K | 232 | — | 464288257 |
| ISHARES TR | SELECT US REIT | $35.9K | 570 | — | 464287564 |
| ISHARES TR | RUSSELL 3000 ETF | $35.8K | 83 | — | 464287689 |
| ARK ETF TR | INNOVATION ETF | $35.6K | 400 | — | 00214Q104 |
| ISHARES TR | TIPS BD ETF | $34.5K | 332 | — | 464287176 |
| ISHARES INC | MSCI JAPAN ETF | $33.7K | 346 | — | 46434G822 |
| ILLINOIS TOOL WKS INC | COM | $33.7K | 131 | — | 452308109 |
| INVESCO EXCH TRADED FD TR II | GLOBAL WATER | $33.5K | 774 | — | 46138E651 |
| ISHARES TR | CORE S&P MCP ETF | $33.1K | 460 | — | 464287507 |
| ISHARES TR | EAFE GRWTH ETF | $33K | 275 | — | 464288885 |
| INVESCO EXCHANGE TRADED FD T | WATER RES ETF | $28.8K | 424 | — | 46137V142 |
| SPDR SERIES TRUST | ST INTL BBG ETF | $28.6K | 1,349 | — | 78464A516 |
| ISHARES INC | MSCI TURKEY ETF | $28.3K | 838 | — | 464286715 |
| ARCHER DANIELS MIDLAND CO | COM | $26.4K | 333 | — | 039483102 |
| VANGUARD SCOTTSDALE FDS | MTG-BKD SECS ETF | $26.2K | 590 | — | 92206C771 |
| VANGUARD INDEX FDS | MRNGSTR MD CP VA | $25.6K | 131 | — | 922908512 |
| WISDOMTREE TR | INDIA ERNGS FD | $25.3K | 621 | — | 97717W422 |
| JPMORGAN CHASE & CO | COM | $25.1K | 76 | — | 46625H100 |
| HONEYWELL INTL INC | COM | $24.3K | 115 | — | 438516205 |
| ISHARES INC | MSCI SWITZERLAND | $22.8K | 385 | — | 464286749 |
| TEXAS INSTRS INC | COM | $22.1K | 79 | — | 882508104 |
| CATERPILLAR INC | COM | $21.1K | 26 | — | 149123101 |
| ZSCALER INC | COM | $20.3K | 102 | — | 98980G102 |
| VANGUARD MUN BD FDS | CORE TAX EXEMPT | $19.4K | 271 | — | 922907712 |
| MICRON TECHNOLOGY INC | COM | $19.2K | 18 | — | 595112103 |
| ISHARES TR | LATN AMER 40 ETF | $19.1K | 555 | — | 464287390 |
Values are shown exactly as filed. Before 2023 managers reported in thousands of dollars and afterwards in whole dollars; the reporting unit is not always determinable from the document, so nothing is converted automatically.
Source: U.S. Securities and Exchange Commission, Form 13F · as of 2026-10-20