Bethany A. Steinhaus

BREAKWATER INVESTMENT MANAGEMENT

Seattle, WA 98121

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CRD#: 5311241

Professional summary

Bethany Anne Steinhaus, CFP®, who also goes by Bethany Anne Clark, is a registered financial advisor currently at BREAKWATER INVESTMENT MANAGEMENT located in Seattle, Washington.

Bethany is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2014. Bethany has worked at 1 firm .

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Bethany Anne Clark

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Bethany Anne Steinhaus's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 2012

Experience

Current

March 26, 2014 - Present

BREAKWATER INVESTMENT MANAGEMENT

Office #1: 2033 Sixth Avenue #1010, Seattle, WA 98121

RIA

CRD#: 150841

Seattle, WA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

BREAKWATER INVESTMENT MANAGEMENT

BREAKWATER INVESTMENT | BREAKWATER INVESTMENT MANAGEMENT, LLC | BREAKWATER INVESTMENT MANAGEMENT

CRD#: 150841 / SEC#: 801-79040

RIA

Registered Investment Advisory firm - (1/9/2014 Approved)

Washington

Registered Investment Advisory firm - (1/13/2014 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Washington
(3/26/2014)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

Current Firm

BREAKWATER INVESTMENT MANAGEMENT

BREAKWATER INVESTMENT | BREAKWATER INVESTMENT MANAGEMENT, LLC | BREAKWATER INVESTMENT MANAGEMENT

CRD#: 150841 / SEC#: 801-79040

RIA

Registered Investment Advisory firm - (1/9/2014 Approved)

Washington

Registered Investment Advisory firm - (1/13/2014 Terminated)

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Contact information

Main Address

2033 Sixth Avenue #1010, Seattle, WA 98121

Mailing Address

Phone number

(206) 621-8832

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BIM ADV (3/24/2025)

Regulatory assets under management

Total Number of Accounts	557
AUM (Assets Under Management)	$ 250,791,556

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
05/01/2025	Cover Page	Report
11/15/2024	Cover Page	Report
08/07/2023	Cover Page	Report
07/18/2022	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Bethany A. Steinhaus

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Bethany Anne Steinhaus's CRS (Customer Relationship Summary).

Certified licenses

Experience

BREAKWATER INVESTMENT MANAGEMENT

Primary Firm SEC Registration

BREAKWATER INVESTMENT MANAGEMENT

State Registrations and Notice Filings

Exams

Current Firm

BREAKWATER INVESTMENT MANAGEMENT

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

BREAKWATER INVESTMENT MANAGEMENT

TRUST BUT VERIFY

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