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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

PARITER WEALTH MANAGEMENT GROUP LLC

CRD 146622

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:9e2b2436-5b8b-bc6b-7c4f-bf67448fa84f

Data as of Jun 20, 2019 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 12:05 AM UTC and rebuilt at most every 15 minutes.

Relationships: 13
Dated events: 0
On other graphs: 1
Observed: Mar 29, 2012 to Jun 20, 2019
20 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Allocatorsidentity

Pariter Wealth Management Group LLC

Investment consultant · shared crd

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: $41.2MItem 5.F on the latest filing (2019-06-20); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $37.9M
Private client RAUM: $20.5MderivedItem 5.D individuals plus high net worth individuals
Private client share: 50%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 3
RAUM per advisor: $13.7Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 3
Advisory employees: 2
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 144
Individual clients: 32
High net worth clients: 50
SEC number: 801-69079
CRD: 146622
Filings on the tape: 20
First filed: Mar 29, 2012
Latest filed: Jun 20, 2019
Organised: Limited Liability Company, Puerto Rico

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
BRAULIO LUIS NIEVES ROMAN	n/a	GUAYNABO, PR	10	22	2	yes
FRANCISCO JOSE RIVERA FERNANDEZ	n/a	GUAYNABO, PR	10	27	2	yes
EDUARDO SOTOMAYOR ALAMO	n/a	GUAYNABO, PR	7	10	n/a	yes

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
RIVERA, FRANCISCO, JOSE	President	E	yes	02/2008	Mar 29, 2012	Jun 20, 2019
SOTOMAYOR ALAMO, EDUARDO	CHIEF COMPLIANCE OFFICER	Na	yes	03/2016	Mar 11, 2016	Jun 20, 2019

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
PARITER RISK MANAGEMENT	n/a	n/a	n/a	N	yes	n/a
PARITER SECURITIES, LLC	n/a	n/a	n/a	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
2018	Mar 28, 2019	$41.2M	$37.9M	3	2	0	n/a	n/a
2017	Mar 30, 2018	$51.6M	$47.5M	3	2	0	n/a	n/a
2016	Mar 29, 2017	$147M	$147M	5	3	n/a	n/a	n/a
2015	Mar 11, 2016	$141M	$141M	5	3	n/a	n/a	n/a
2014	Mar 26, 2015	$148M	$148M	4	3	n/a	n/a	n/a
2013	Mar 31, 2014	$128M	$128M	5	3	n/a	n/a	n/a
2012	Mar 6, 2013	$103M	$82.8M	4	2	n/a	n/a	n/a
2011	Mar 29, 2012	$86.5M	$85.1M	n/a	n/a	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

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
2018	$41.2M	$51.6M	-20.2%	$141M	-33.7%	3	3	0	0

Relationships

Affiliated with (1)

← THE PHOENIX FUND ADVISOR LLCRegistered adviserother investment adviser, common control
factForm ADV

Registered with (4)

← EDUARDO SOTOMAYOR ALAMOAdvisorregistration: current employment
Jul 16, 2019 to presentfactForm ADV
← FRANCISCO JOSE RIVERA FERNANDEZAdvisorregistration: previous registration
Jan 20, 2015 to Dec 31, 2015factForm ADV
← BRAULIO LUIS NIEVES ROMANAdvisorregistration: previous registration
Jan 15, 2015 to Dec 31, 2015factForm ADV
← JAVIER F REYES COLONAdvisorregistration: previous registration
Jan 22, 2016 to Oct 9, 2017factForm ADV

Controls (2)

← RIVERA, FRANCISCO, JOSEOwnerPRESIDENT, ownership code E, individual
Mar 29, 2012 to presentfactForm ADV
← SOTOMAYOR ALAMO, EDUARDOOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 11, 2016 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9e2b2436-5b8b-bc6b-7c4f-bf67448fa84f
First observed: Mar 29, 2012
Last observed: Jun 20, 2019 88 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.

PARITER WEALTH MANAGEMENT GROUP LLC

CRD 146622

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:9e2b2436-5b8b-bc6b-7c4f-bf67448fa84f

Data as of Jun 20, 2019 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 12:05 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

BRAULIO LUIS NIEVES ROMAN

n/a

GUAYNABO, PR

yes

FRANCISCO JOSE RIVERA FERNANDEZ

n/a

GUAYNABO, PR

yes

EDUARDO SOTOMAYOR ALAMO

n/a

GUAYNABO, PR

n/a

yes

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

RIVERA, FRANCISCO, JOSE

President

yes

02/2008

Mar 29, 2012

Jun 20, 2019

SOTOMAYOR ALAMO, EDUARDO

CHIEF COMPLIANCE OFFICER

yes

03/2016

Mar 11, 2016

Jun 20, 2019

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

PARITER RISK MANAGEMENT

n/a

yes

n/a

PARITER SECURITIES, LLC

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2018

Mar 28, 2019

$41.2M

$37.9M

n/a

2017

Mar 30, 2018

$51.6M

$47.5M

n/a

2016

Mar 29, 2017

$147M

n/a

2015

Mar 11, 2016

$141M

n/a

2014

Mar 26, 2015

$148M

n/a

2013

Mar 31, 2014

$128M

n/a

2012

Mar 6, 2013

$103M

$82.8M

n/a

2011

Mar 29, 2012

$86.5M

$85.1M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2018

$41.2M

$51.6M

-20.2%

$141M

-33.7%