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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

SANTANDER ASSET MANAGEMENT

SANTANDER ASSET MANAGEMENT, LLC, CRD 109399

GUAYNABO, PR

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:96bb8139-bcf8-a0b6-ee01-219aef432a99

Data as of Mar 29, 2021 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 12:18 PM UTC and rebuilt at most every 15 minutes.

Relationships: 11
Dated events: 5
On other graphs: 0
Observed: Mar 5, 2012 to Mar 29, 2021
45 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $468MItem 5.F on the latest filing (2021-03-29); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $468M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 16
Advisory employees: 3
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 6
Individual clients: 0
High net worth clients: 0
Custody, client assets: $468M
SEC number: 801-56797
CRD: 109399
Filings on the tape: 45
First filed: Mar 5, 2012
Latest filed: Mar 29, 2021
Organised: Limited Liability Company, Puerto Rico

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
BANCO SANTANDER S.A.	Shareholder	E	yes	12/2013	Jan 16, 2014	Mar 29, 2021
COLON SOTO, JESSICA, M	CHIEF FINANCIAL OFFICER	Na	yes	01/2014	Mar 31, 2014	Mar 29, 2021
SANTANDER FINANCIAL SERVICES, INC.	Member	E	yes	06/2020	Jun 30, 2020	Mar 29, 2021
SANTANDER HOLDING USA, INC.	Member	E	yes	06/2020	Oct 4, 2018	Mar 29, 2021
SERRA CARDONA, FRANK, J	PRESIDENT AND CEO, ELECTED MANAGER	Na	yes	10/2008	Mar 5, 2012	Mar 29, 2021
SUAREZ PESANTE, ANA, ROSA	CHIEF COMPLIANCE OFFICER	Na	yes	12/2017	Jan 19, 2018	Mar 29, 2021

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
SANTANDER SECURITIES LLC	n/a	Bd affiliated wealth	$3.1B	N	yes	n/a

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2020	Mar 29, 2021	$468M	$468M	16	3	0	n/a	n/a
2019	Mar 31, 2020	$1.1B	$1.1B	18	3	0	n/a	n/a
2018	Mar 29, 2019	$1.3B	$1.3B	20	4	0	n/a	n/a
2017	Mar 29, 2018	$1.4B	$1.4B	20	5	0	n/a	n/a
2016	Mar 31, 2017	$1.6B	$1.6B	24	5	n/a	n/a	n/a
2015	Mar 30, 2016	$1.6B	$1.6B	25	5	n/a	n/a	n/a
2014	Mar 31, 2015	$2.5B	$2.5B	25	6	n/a	n/a	n/a
2013	Mar 31, 2014	$2.9B	$2.9B	21	5	n/a	n/a	n/a
2012	Apr 1, 2013	$4.1B	$4.1B	21	8	n/a	n/a	n/a
2011	Mar 30, 2012	$4.1B	$4.1B	n/a	n/a	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2020	$468M	$1.1B	-57.7%	$1.4B	-30.7%	16	18	0	0

Relationships

Affiliated with (1)

→ SANTANDER SECURITIESRegistered adviserother investment adviser, broker-dealer, common control
factForm ADV

Controls (6)

← SUAREZ PESANTE, ANA, ROSAOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jan 19, 2018 to presentfactForm ADV
← SERRA CARDONA, FRANK, JOwnerPRESIDENT AND CEO, ELECTED MANAGER, ownership code NA, individual
Mar 5, 2012 to presentfactForm ADV
← COLON SOTO, JESSICA, MOwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
Mar 31, 2014 to presentfactForm ADV
← BANCO SANTANDER S.A.OwnerSHAREHOLDER, ownership code E, foreign entity
Jan 16, 2014 to presentfactForm ADV
← SANTANDER FINANCIAL SERVICES, INC.OwnerMEMBER, ownership code E, domestic entity
Jun 30, 2020 to presentfactForm ADV
← SANTANDER HOLDING USA, INC.OwnerMEMBER, ownership code E, domestic entity
Oct 4, 2018 to presentfactForm ADV

Registered with (4)

← Ana Rosa SuarezAdvisorregistration: previous registration
Mar 27, 2018 to May 21, 2021factForm ADV
← CRISTINA CANELLASAdvisorregistration: previous registration
Feb 13, 2017 to May 21, 2021factForm ADV
← DESIREE JOANNE MIESES LLAVATAdvisorregistration: previous registration
Sep 17, 2012 to Oct 3, 2019factForm ADV
← PAUL X HOPGOOD MORALESAdvisorregistration: previous registration
Sep 7, 2012 to Oct 6, 2014factForm ADV

Dated events

Occurred
Mar 29, 2021
Regulatory AUM changed
Santander Asset Management reported RAUM $467.7M, down 45% from $845.7M (2020-12-10 to 2021-03-29)
Form ADVobserved 6 days ago
$-378M
Occurred
Nov 4, 2020
Control person left
Pedro Fredy Molfino (Elected Member) no longer on Schedule A of Santander Asset Management (listed 2020-06-30, absent 2020-11-04)
Form ADVobserved 6 days ago
Occurred
Mar 29, 2019
Control person joined
Pedro Fredy Molfino (Elected Member) appeared on Schedule A of Santander Asset Management
Form ADVobserved 6 days ago
Occurred
Mar 29, 2019
Control person left
Rhys Dennis Williams (Cio, Elected Manager) no longer on Schedule A of Santander Asset Management (listed 2019-01-11, absent 2019-03-29)
Form ADVobserved 6 days ago
Occurred
Jul 29, 2013
Succession filed (Item 4)
Santander Asset Management reported succeeding to the business of Another Adviser (Form ADV Item 4)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:96bb8139-bcf8-a0b6-ee01-219aef432a99
First observed: Mar 5, 2012
Last observed: Mar 29, 2021 66 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

SANTANDER ASSET MANAGEMENT

SANTANDER ASSET MANAGEMENT, LLC, CRD 109399

GUAYNABO, PR

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:96bb8139-bcf8-a0b6-ee01-219aef432a99

Data as of Mar 29, 2021 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 12:18 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BANCO SANTANDER S.A.

Shareholder

yes

12/2013

Jan 16, 2014

Mar 29, 2021

COLON SOTO, JESSICA, M

CHIEF FINANCIAL OFFICER

yes

01/2014

Mar 31, 2014

Mar 29, 2021

SANTANDER FINANCIAL SERVICES, INC.

Member

yes

06/2020

Jun 30, 2020

Mar 29, 2021

SANTANDER HOLDING USA, INC.

Member

yes

06/2020

Oct 4, 2018

Mar 29, 2021

SERRA CARDONA, FRANK, J

PRESIDENT AND CEO, ELECTED MANAGER

yes

10/2008

Mar 5, 2012

Mar 29, 2021

SUAREZ PESANTE, ANA, ROSA

CHIEF COMPLIANCE OFFICER

yes

12/2017

Jan 19, 2018

Mar 29, 2021

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

SANTANDER SECURITIES LLC

n/a

Bd affiliated wealth

$3.1B

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2020

Mar 29, 2021

$468M

n/a

2019

Mar 31, 2020

$1.1B

n/a

2018

Mar 29, 2019

$1.3B

n/a

2017

Mar 29, 2018

$1.4B

n/a

2016

Mar 31, 2017

$1.6B

n/a

2015

Mar 30, 2016

$1.6B

n/a

2014

Mar 31, 2015

$2.5B

n/a

2013

Mar 31, 2014

$2.9B

n/a

2012

Apr 1, 2013

$4.1B

n/a

2011

Mar 30, 2012

$4.1B

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2020

$468M

$1.1B

-57.7%

$1.4B

-30.7%