CG
Firm Information
Compensation
Fee-Only (AUM)Fixed/Hourly
Number of Advisors
19 advisors
Number of Clients
383 clients
Average Client Portfolio
$405K average
Assets Under Management
$155.3M
Fee Structure
Financial Planning:Investment management only
Stonecrest Advisors participates in a wrap fee program with fees ranging from 0.50% to 2.0% based on assets under management. These fees are negotiable depending upon the needs of the client and complexity of the situation. Fees are paid monthly in advance and are withdrawn directly from the client's accounts. Clients may terminate the contract with 30 days written notice.
Areas of Practice
Investment Management
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Advisor Information
Office location
1369 Ashford Avenue, AC Hotel Mezzanine Level, San Juan, PR, 00907
Get directionsRegulatory History (23)
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.
Customer Dispute
April 2024Settled
Customer Dispute
October 2019Settled
Customer Dispute
October 2019Closed-No Action
Customer Dispute
August 2019Settled
Customer Dispute
May 2019Settled
Customer Dispute
February 2019Settled
Customer Dispute
September 2018Settled
Customer Dispute
July 2018Settled
Customer Dispute
June 2018Settled
Customer Dispute
September 2017Settled
Customer Dispute
July 2017Settled
Customer Dispute
March 2016Settled
Customer Dispute
March 2016Settled
Customer Dispute
September 2015Settled
Customer Dispute
September 2015Settled
Customer Dispute
July 2015Award / Judgment
Customer Dispute
June 2015Settled
Customer Dispute
June 2015Settled
Customer Dispute
March 2015Settled
Customer Dispute
January 2015Settled
Customer Dispute
October 2014Settled
Customer Dispute
October 2014Settled
Customer Dispute
March 2014Settled
Other Business ActivitiesSells Insurance
Carlos works as an insurance agent for Stonecrest Partners of Puerto Rico, dedicating a few hours per week. He also works as an investment adviser for Stonecrest Advisors, spending about 10-20% of his time in this role.
Employment History
Current Registrations
Stonecrest Advisors, INC.
May 2022 - Present · 3 yrs 8 mos
Stonecrest Capital Markets, INC.Broker
January 2020 - Present · 6 yrs
Previous Registrations
Herbert J. Sims & Co, INC.Broker
August 2014 - January 2020 · 5 yrs 5 mos
UBS Financial Services INC. Broker
April 2009 - August 2014 · 5 yrs 4 mos
UBS Financial Services Incorporated of Puerto RicoBroker
April 2009 - August 2014 · 5 yrs 4 mos
Oriental Financial Services CORP. Broker
June 2005 - May 2009 · 3 yrs 11 mos
State Registrations2 states
FLPR
AdvisorBrokerBoth
Exams
No exam information available for this advisor.