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KD

Kevin M. Deangelis

BREAKWATER INVESTMENT MANAGEMENT
Seattle, WA 98121
Some features on this profile are disabled
CRD#: 6513156
KD

Professional summary

Kevin M Deangelis, CFP®, who also goes by Kevin M. Deangelis, Kevin Matthew Deangelis, Kevin Deangelis, is a registered financial advisor currently at BREAKWATER INVESTMENT MANAGEMENT located in Seattle, Washington.

Kevin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2015. Kevin has worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Kevin M. Deangelis | Kevin Matthew Deangelis | Kevin Deangelis

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 Kevin M Deangelis'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

Experience

Current

April 8, 2026 - Present

BREAKWATER INVESTMENT MANAGEMENT

Office #1: 2033 Sixth Avenue #1010, Seattle, WA 98121
RIA
CRD#: 150841
Seattle, WA
Past

March 4, 2020 - December 11, 2025

STIFEL, NICOLAUS & COMPANY, INCORPORATED

RIA
CRD#: 793
ST LOUIS, MO
Past

March 4, 2020 - December 11, 2025

STIFEL, NICOLAUS & COMPANY, INCORPORATED

BD
CRD#: 793
ST. LOUIS, MO
Past

August 30, 2019 - February 28, 2020

THRIVENT INVESTMENT MANAGEMENT INC.

RIA
CRD#: 18387
ORLAND PARK, IL
Past

August 30, 2019 - February 28, 2020

THRIVENT INVESTMENT MANAGEMENT INC.

BD
CRD#: 18387
ORLAND PARK, IL
Past

February 4, 2019 - August 19, 2019

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
DOWNERS GROVE, IL
Past

February 4, 2019 - August 19, 2019

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
DOWNERS GROVE, IL
Past

September 18, 2017 - May 4, 2018

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
Warrenville, IL
Past

March 25, 2017 - August 25, 2017

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
DOWNERS GROVE, IL
Past

October 22, 2015 - March 25, 2017

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
DOWNERS GROVE, IL
Past

September 8, 2015 - September 23, 2015

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
OAK BROOK, IL

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".
BI
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)

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
(4/8/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 2/15/2018
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 5/4/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/8/2015
General Securities Representative Examination

Current Firm

BI
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)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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
3

SEC notice filing (4 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

BIM ADV (3/24/2025)

Regulatory assets under management

Total Number of Accounts557
AUM (Assets Under Management)$ 250,791,556

Accountant surprise examination report

Filing DateForm ADV-E CoverForm 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.

Company Information

BREAKWATER INVESTMENT MANAGEMENT

CRD#: 150841Seattle, WA 98121

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