Firm Information

Compensation
Fee-Only (AUM)
Number of Advisors
25 advisors
Number of Clients
719 clients
Average Client Portfolio
$2.6M average
Assets Under Management
$1.8B

Fee Structure

AUM-Based Fees (Tiered)
Assets Under ManagementAnnual Fee
Up to $500K2.00%
$500K - $1.0M1.50%
$1.0M - $5.0M1.00%
$5.0M - $20.0M0.75%
$20.0M - $50.0M0.60%
$50M+0.50%

All fees are negotiable.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
Minimum Annual Fee:$500

The firm charges an annual management or advisory fee, ranging from 0.50% to 2.00% of assets under management, subject to a minimum quarterly fee of $500. Fees are negotiable. Some portfolios of qualified or non-US investors can also have variable performance fees of up to 20%. Flat fee arrangements are also available for administrative services. Clients may pay more or less than similar clients depending on their circumstances.

Areas of Practice
Investment ManagementEstate Planning
Loading...

Advisor Information

Office location

1450 Brickell Avenue, Suite 2900, Miami, FL, 33131

Get directions
Regulatory History (3)
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
April 2016
Final
Regulatory
August 2013
Final
Employment Separation After Allegations
August 2012
Other Business Activities

Rafael is the VP of El Rio Condominium Association, meeting for one hour monthly without compensation. This activity is outside of business hours and requires minimal time.

Employment History
Current Registrations
Boreal Capital Management LLC
August 2013 - Present · 12 yrs 5 mos
Boreal Capital Securities LLC
December 2012 - Present · 13 yrs 1 mo
Boreal Capital Securities LLCBroker
December 2012 - Present · 13 yrs 1 mo
Previous Registrations
LPL Financial LLC
December 2003 - August 2012 · 8 yrs 8 mos
LPL Financial LLC Broker
November 2003 - August 2012 · 8 yrs 9 mos
Riggs Securities INC.
January 2003 - November 2003 · 10 mos
Riggs Securities INC.Broker
November 2002 - November 2003 · 1 yr
Donaldson, Lufkin & Jenrette Securities CorporationBroker
April 2001 - April 2002 · 1 yr
State Registrations1 state
FL
AdvisorBrokerBoth
Exams
No exam information available for this advisor.
Rafael Moreno - Financial Advisor | AdvisorDiscover