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Arturo Jesus Rodriguez Diaz

41 Years of Experience

Firm Information

Compensation
Fee-Only (AUM)Fixed/Hourly
Number of Advisors
3 advisors
Number of Clients
73 clients
Average Client Portfolio
$651K average
Assets Under Management
$47.6M

Fee Structure

Minimum Investment:$100K
AUM-Based Fees (Tiered)
Assets Under ManagementAnnual Fee
Up to $250K2.50%
$250K - $1.0M1.50%
$1.0M - $2.5M1.00%
$2.5M+0.50%

Fees may be negotiable on a client-by-client basis.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
Financial Plan Fee:$1,000
Hourly Rate:Up to $250/hr

RIWM charges an annual fee based on a percentage of assets under management, ranging from 0.50% to 2.50%. Fees are billed quarterly in advance. The specific fee is identified in the client agreement and may be negotiable based on client circumstances. Consulting services are also available for a fixed, non-asset-based fee, with a minimum of $1,000. The hourly rate is $250.00/hour. The minimum account size is generally $100,000, but lesser amounts may be accepted at the adviser's discretion.

Areas of Practice
Investment Management
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Advisor Information

Office location

2655 Le Jeune Road, Suite 916, Coral Gables, FL, 33134

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Regulatory History (4)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Regulatory
July 2015
Final
Customer Dispute
September 2003
Denied
Customer Dispute
April 2003
Denied
Customer Dispute
April 1990
Award / Judgment
Other Business Activities

Arturo conducts RIA business through RIWM LLC in Coral Gables, Florida. This activity is investment-related.

Employment History
Current Registrations
Riwm, LLC
April 2025 - Present · 9 mos
Aegis Capital CORP.
June 2015 - Present · 10 yrs 7 mos
Aegis Capital CORP. Broker
June 2015 - Present · 10 yrs 7 mos
Previous Registrations
Capital Guardian Wealth Management, LLC
December 2013 - July 2015 · 1 yr 7 mos
Capital Guardian, LLCBroker
August 2012 - July 2015 · 2 yrs 11 mos
Riwm, LLC
April 2012 - December 2024 · 12 yrs 8 mos
Global Investor Services, L.C.Broker
January 2011 - August 2012 · 1 yr 7 mos
Rehmann Financial
August 2010 - September 2012 · 2 yrs 1 mo
Royal Alliance Associates, INC. Broker
April 2010 - January 2011 · 9 mos
Oppenheimer & CO. INC.
March 2009 - April 2010 · 1 yr 1 mo
Oppenheimer & CO. INC. Broker
March 2009 - April 2010 · 1 yr 1 mo
Oppenheimer & CO. INC.
March 2009 - March 2009 · 0 mos
Stanford Group Company
March 2006 - March 2009 · 3 yrs
Stanford Group CompanyBroker
February 2006 - March 2009 · 3 yrs 1 mo
Banc of America Investment Services, INC.
February 2003 - February 2006 · 3 yrs
Banc of America Investment Services, INC.Broker
February 2003 - February 2006 · 3 yrs
Prudential Securities Incorporated
January 1997 - February 2003 · 6 yrs 1 mo
Prudential Securities IncorporatedBroker
March 1996 - February 2003 · 6 yrs 11 mos
Dean Witter Reynolds INC.Broker
September 1990 - March 1996 · 5 yrs 6 mos
Lehman Brothers INC.Broker
February 1988 - October 1990 · 2 yrs 8 mos
E. F. Hutton & Company INCBroker
February 1987 - February 1988 · 1 yr
Painewebber Incorporated Broker
September 1984 - January 1987 · 2 yrs 4 mos
State Registrations3 states
DEFLPR
AdvisorBrokerBoth
Exams
No exam information available for this advisor.
Arturo Jesus Rodriguez Diaz - Financial Advisor | AdvisorDiscover