DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Amerant Investments, Inc.
Latest filing Apr 22, 2026
First filing on the tape Feb 7, 2012 · 48 filings
SEC status approved since Aug 9, 2002
RAUM
$782M
reported, Item 5.F
Discretionary
62%
of RAUM
Private clients
52%
$408M individuals and HNW
Advisors
21
registered through the firm on IAPD
RAUM per advisor
$37.3M
derived; firm RAUM over IAPD count
Employees
35
22 advisory (5.B.1)
Offices
7
beyond the principal office
Private funds
0
reported on Schedule D
History
48 filings and snapshots on the tape
RAUM$782M as of Apr 22, 2026
Feb 7, 2012$243M then
HNW client RAUM$268M as of Apr 22, 2026
Mar 21, 2018$81.6M then
State-registered IARs (5.B.3)22 as of Apr 22, 2026
Mar 22, 201319 then
Employees (5.A)35 as of Apr 22, 2026
Mar 22, 201342 then
Private funds: no history
RAUM +14% over the last fiscal year+9.2% a year over threeIARs 15 to 22offices 6 to 7
Practice profile
derived from the filing of Apr 22, 2026; every figure names its basis
Archetypes, each a printed rule
- Bank affiliated · Item 7.A.6 or 7.A.7 (bank or trust company affiliate) and a bank, bancorp or trust company as a 50 percent or greater owner on Schedule A
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $37.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 47derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.9MderivedHNW RAUM over HNW clients
- Average account
- $603,693derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 62%derivedof RAUM
- Institutional
- 0.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 2.6derived8 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- +47%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +85%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
- Wrap fee program
- $560MreportedItem 5.I
- Ownership
- a bank, bancorp or trust company is a 50 percent or greater ownerderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- is a broker-dealer (6.A.1)
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Corporations and businesses$341M44%
- High-net-worth individuals$268M34%
- Individuals$139M18%
- Pooled investment vehicles$26.8M3.4%
- Charitable organizations$6.6M0.8%
- Individual clients
- 841reported
- HNW clients
- 143reported
- Pension plan clients
- 0reported
- Charitable clients
- 13reported
- Accounts
- 1,296reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.52 fund_share=0.03 institutional_share=0.01 related_bd=false related_bank=false bd_reps=35.0derived
Advisors registered through the firm
21 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Anabel Ferreiro Lopez | Coral Gables, Fl | Oct 25, 2010 | 19 y | 0 |
| Gregory Pita | Coral Gables, Fl | Jun 11, 2014 | 13 y | 0 |
| Patricia Helena Leon-Ponte | Coral Gables, Fl | May 26, 2015 | 14 y | 0 |
| Gilberto Enrique Paez | Coral Gables, Fl | Jan 3, 2018 | 11 y | 0 |
| Sebastian Rodrigo Gomez | Coral Gables, Fl | Dec 13, 2021 | 11 y | 3 |
| Daisy Miriam De La Torre Montoya | Coral Gables, Fl | Jan 21, 2022 | 13 y | 2 |
| Carlos Daniel Castro Oliveros | Coral Gables, Fl | Feb 21, 2022 | 11 y | 0 |
| Baylor Ann Lancaster-Samuel | Coral Gables, Fl | Nov 7, 2022 | 10 y | 0 |
| Daniel Jason Segal | Boca Raton, Fl | Jan 9, 2023 | 15 y | 2 |
| Juan Camilo Hernandez Hidrobo | Coral Gables, Fl | Apr 24, 2023 | 12 y | 0 |
| Emeris Del Valle Lucas | Boca Raton, Fl | Oct 9, 2023 | 20 y | 0 |
| Jonathan Sauce | Coral Gables, Fl | Apr 29, 2024 | 16 y | 2 |
| Denise Anne NegronCertified Financial Planner | Westlake, Fl | Sep 24, 2024 | 22 y | 3 |
| Luis Alonso Hernandez Guerrero | Coral Gables, Fl | Jan 7, 2025 | 12 y | 0 |
| Ron Yosef Eisner | Coral Gables, Fl | May 5, 2025 | 18 y | 3 |
| Diego Alfonso Abreu | Coral Gables, Fl | Aug 5, 2025 | 12 y | 0 |
| Ian P Dubugras | Coral Gables, Fl | Dec 2, 2025 | 10 y | 2 |
| Roger Bosch | Coral Gables, Fl | Dec 9, 2025 | 11 y | 1 |
| Breno Sily Vasconcellos | Coral Gables, Fl | Dec 19, 2025 | 11 y | 0 |
| Diego Garcia Devillalobosadames | Coral Gables, Fl | Mar 23, 2026 | 11 y | 1 |
| Ricardo Andres Sucre | Coral Gables, Fl | Jul 7, 2026 | 22 y | 3 |
Advisor movement
1 left, 4 joined in 12 months
net +3 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 4.8% of current headcount2 left over 36 months
Left, latest
- Diana Fernandez to First Command Advisory ServicesMar 30, 2026 · RIA to affiliated broker-dealer or bank
- Juan Sebastian Leon to Raymond James & Associates, Inc.Sep 3, 2024 · RIA to affiliated broker-dealer or bank
- Jovany Jorge Noy to Bci Securities, Inc.Aug 28, 2023 · RIA to RIA
- Maria Elizabeth Lacasa to Ifb Wealth Management LLCSep 9, 2022 · Other
- Rafael A Cruz to Santander SecuritiesApr 12, 2022 · RIA to affiliated broker-dealer or bank
- Arturo Inigo to Frost Investment ServicesApr 12, 2022 · RIA to affiliated broker-dealer or bank
- Emil Manzano to Citigroup Global Markets Inc.Apr 12, 2022 · RIA to affiliated broker-dealer or bank
- Mark Simon Dirou to Truist Advisory Services, Inc.Feb 10, 2022 · RIA to affiliated broker-dealer or bank
- Vicent Costa to Insigneo Advisory Services, LLCSep 13, 2021 · RIA to RIA
- Ciro Vasquez to Insigneo Advisory Services, LLCSep 7, 2021 · RIA to RIA
- Juan Andres Zenck to Insigneo Advisory Services, LLCJul 20, 2021 · RIA to RIA
- Silvana L Bolivar to J.P. Morgan Securities LLCJun 23, 2021 · RIA to wirehouse
- Eduardo Enrique Bello to Global Kandor Advisors, LLCOct 23, 2020 · RIA to a newly registered adviser
- Roberto Isasi to Davivienda AdvisorsMar 19, 2020 · RIA to a newly registered adviser
- Jonathan Sauce to Insigneo Advisory Services, LLCMar 17, 2020 · RIA to RIA
Joined, latest
- Ricardo Andres Sucre from Bolton Global Asset ManagementJul 7, 2026 · Affiliated broker-dealer or bank to independent RIA
- Diego Garcia Devillalobosadames from Puente Asesoramiento De Inversiones, LLCMar 23, 2026 · Other
- Roger Bosch from Mora Capital Management, LLCDec 9, 2025 · RIA to RIA
- Ian P Dubugras from Belvedere Wealth Advisors LLCDec 2, 2025 · Other
- Ron Yosef Eisner from Hightower Advisors, LLCMay 5, 2025 · Affiliated broker-dealer or bank to independent RIA
- Denise Anne Negron from First Horizon Advisors, IncSep 24, 2024 · RIA to RIA
- Jonathan Sauce from Insigneo Advisory Services, LLCApr 29, 2024 · Affiliated broker-dealer or bank to independent RIA
- Diana Fernandez from Morgan StanleyJan 18, 2024 · Wirehouse to independent RIA
- Daniel Jason Segal from Benchmark Financial Wealth Advisors LLCJan 9, 2023 · RIA to RIA
- Arturo Inigo from Frost Investment ServicesMar 24, 2022 · Affiliated broker-dealer or bank to independent RIA
- Daisy Miriam De La Torre Montoya from Citigroup Global Markets Inc.Jan 21, 2022 · Affiliated broker-dealer or bank to independent RIA
- Sebastian Rodrigo Gomez from Mariva Global Asset Management, LLCDec 13, 2021 · RIA to RIA
- Emil Manzano from Citigroup Global Markets Inc.Sep 20, 2021 · Affiliated broker-dealer or bank to independent RIA
- Jovany Jorge Noy from Citigroup Global Markets Inc.May 24, 2021 · Affiliated broker-dealer or bank to independent RIA
- Mark Simon Dirou from Citigroup Global Markets Inc.May 8, 2020 · Affiliated broker-dealer or bank to independent RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for Insigneo Advisory Services, LLCSep 7, 2021 · Coral Gables, Fl
- 2 left for Wells Fargo AdvisorsJul 10, 2017 · Coral Gables, Fl
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Sharymar Egllee Calderon Yepez · Directorcontrolsince 08/2023 · owns less than 5%
- Alberto Manuel Capriles · Directorcontrolsince 05/2018 · owns less than 5%
- Andres Jose Garganta · Directorcontrolsince 01/2023 · owns less than 5%
- Sergio Emiliano Mr. Guerrero · Coo & Finopcontrolsince 10/2020 · owns less than 5%
- Carlos Iafigliola · Directorcontrolsince 08/2020 · owns less than 5%
- Howard A Levine · Directorcontrolsince 08/2022 · owns less than 5%
- Jose Vicente Restrepo · Ccocontrolsince 04/2022 · owns less than 5%
- Emeris Del Valle Lucas · Branch Managersince 01/2024 · owns less than 5%
Entity owners
- Amerant Bank, N.A. · Shareholderdirect · owns 75% or more
- Amerant Bancorp Inc · Ownerindirect · owns 75% or more of Amerant Bank, N.A. · public reporting company
Related persons
Schedule D 7.A
- Amerant Bank, N.A.y
- Elant Bank And Trust Ltdn
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Coral Gables, Fl · principal | 21 | 5 | 0 | ||
| Miami, Fl | 4 | 1 | 1 | ||
| Boca Raton, Fl | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Aventura, FL1 employees
- Miami, FL1 employees
- Boca Raton, FL1 employees
- Weston, FL1 employees
- Houston, TX1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- client count surgeChange between filings · filing Apr 22, 2026individual and HNW clients (Item 5.D) moved from 531.0 to 984.0 (+85.0%) between the annual amendments of 2025-03-20 and 2026-04-22; the peer median change was +5.0% (1216 comparable advisers, 99.0th percentile of changes)peers: independent wealth managers, $500M to $1B (1,216) · 99% percentile
What changed
consecutive filings, newest first
- Accounts · 1,194 to 1,296Jul 3, 2025 to Mar 6, 2026
- Advisory employees · 15 to 22Jul 3, 2025 to Mar 6, 2026
- BD registered reps · 33 to 35Jul 3, 2025 to Mar 6, 2026
- Charity clients · 8 to 13Jul 3, 2025 to Mar 6, 2026
- Corporate clients · 166 to 299Jul 3, 2025 to Mar 6, 2026
- HNW clients · 173 to 143Jul 3, 2025 to Mar 6, 2026
- Individual clients · 358 to 841Jul 3, 2025 to Mar 6, 2026
- Pooled vehicle clients · 0 to 1Jul 3, 2025 to Mar 6, 2026
- Employees · 41 to 35Jul 3, 2025 to Mar 6, 2026
- State-registered IARs · 15 to 22Jul 3, 2025 to Mar 6, 2026
- Other offices · 6 to 7Jul 3, 2025 to Mar 6, 2026
- Discretionary RAUM · $395M to $482MJul 3, 2025 to Mar 6, 2026
- HNW RAUM · $249M to $268MJul 3, 2025 to Mar 6, 2026
- Individual RAUM · $83.4M to $139MJul 3, 2025 to Mar 6, 2026
- Non-discretionary RAUM · $293M to $300MJul 3, 2025 to Mar 6, 2026
- Pooled vehicle RAUM · $0 to $26.8MJul 3, 2025 to Mar 6, 2026
- RAUM · $688M to $782MJul 3, 2025 to Mar 6, 2026
- Financial planning clients · 0 to 0Jun 24, 2025 to Jul 3, 2025
- Advisory activities · 3 to 4Mar 20, 2025 to May 19, 2025
- Accounts · 1,023 to 1,194Feb 20, 2025 to Mar 20, 2025
- Advisory employees · 14 to 15Feb 20, 2025 to Mar 20, 2025
- BD registered reps · 26 to 33Feb 20, 2025 to Mar 20, 2025
- Charity clients · 6 to 8Feb 20, 2025 to Mar 20, 2025
- Corporate clients · 162 to 166Feb 20, 2025 to Mar 20, 2025
- HNW clients · 69 to 173Feb 20, 2025 to Mar 20, 2025
- Individual clients · 460 to 358Feb 20, 2025 to Mar 20, 2025
- Employees · 31 to 41Feb 20, 2025 to Mar 20, 2025
- State-registered IARs · 16 to 15Feb 20, 2025 to Mar 20, 2025
- Other offices · 5 to 6Feb 20, 2025 to Mar 20, 2025
- Discretionary RAUM · $367M to $395MFeb 20, 2025 to Mar 20, 2025
- HNW RAUM · $142M to $249MFeb 20, 2025 to Mar 20, 2025
- Individual RAUM · $148M to $83.4MFeb 20, 2025 to Mar 20, 2025
- Non-discretionary RAUM · $266M to $293MFeb 20, 2025 to Mar 20, 2025
- Pension RAUM · $755,060 to $0Feb 20, 2025 to Mar 20, 2025
- RAUM · $633M to $688MFeb 20, 2025 to Mar 20, 2025
- Accounts · 726 to 1,023Oct 11, 2023 to Mar 26, 2024
- Advisory employees · 19 to 14Oct 11, 2023 to Mar 26, 2024
- BD registered reps · 34 to 26Oct 11, 2023 to Mar 26, 2024
- Charity clients · 9 to 6Oct 11, 2023 to Mar 26, 2024
- Corporate clients · 188 to 162Oct 11, 2023 to Mar 26, 2024
Signals
31 dated events
- Diana Fernandez left Amerant Investments, Inc. for First Command Advisory Services (registered 2026-04-27)Mar 30, 2026 · Advisor changed firm · fact
- Juan Sebastian Leon left Amerant Investments, Inc. for Raymond James & Associates, Inc. (registered 2024-08-30)Sep 3, 2024 · Advisor changed firm · fact
- Sharymar Egllee Calderon Yepez (Director) appeared on Schedule A of Amerant Investments, Inc.Mar 26, 2024 · Control person joined · fact
- Pedro Raul Parra (Director) no longer on Schedule A of Amerant Investments, Inc. (listed 2023-10-11, absent 2024-03-26)Mar 26, 2024 · Control person left · inference
- Jovany Jorge Noy left Amerant Investments, Inc. for Bci Securities, Inc. (registered 2023-09-21)Aug 28, 2023 · Advisor changed firm · fact
- Juan C. Ariza (Cco) no longer on Schedule A of Amerant Investments, Inc. (listed 2022-11-08, absent 2023-02-17)Feb 17, 2023 · Control person left · inference
- Francisco Rivero (Director) no longer on Schedule A of Amerant Investments, Inc. (listed 2022-11-08, absent 2023-02-17)Feb 17, 2023 · Control person left · inference
- Miguel A Palacios (Director) no longer on Schedule A of Amerant Investments, Inc. (listed 2022-11-08, absent 2023-02-17)Feb 17, 2023 · Control person left · inference
- Andres Jose Garganta (Director) appeared on Schedule A of Amerant Investments, Inc.Feb 17, 2023 · Control person joined · fact
- Amerant Investments, Inc. reported 5 offices beyond its principal office, down from 11 (2022-11-08 to 2023-02-17)Feb 17, 2023 · Office count change · derived
- Jose Vicente Restrepo (Cco) appeared on Schedule A of Amerant Investments, Inc.Feb 17, 2023 · Control person joined · fact
- Maria Elizabeth Lacasa left Amerant Investments, Inc. for Ifb Wealth Management Llc (registered 2022-09-23)Sep 9, 2022 · Advisor changed firm · fact
- Rafael A Cruz left Amerant Investments, Inc. for Santander Securities (registered 2022-06-13)Apr 12, 2022 · Advisor changed firm · fact
- Arturo Inigo left Amerant Investments, Inc. for Frost Investment Services (registered 2022-06-15)Apr 12, 2022 · Advisor changed firm · fact
- Emil Manzano left Amerant Investments, Inc. for Citigroup Global Markets Inc. (registered 2022-06-15)Apr 12, 2022 · Advisor changed firm · fact
- Mark Simon Dirou left Amerant Investments, Inc. for Truist Advisory Services, Inc. (registered 2022-02-25)Feb 10, 2022 · Advisor changed firm · fact
- Francisco Rivero (Director) appeared on Schedule A of Amerant Investments, Inc.Dec 8, 2021 · Control person joined · fact
- Pedro Raul Parra (Director) appeared on Schedule A of Amerant Investments, Inc.Aug 12, 2021 · Control person joined · fact
- Gerald P. Plush (Director) no longer on Schedule A of Amerant Investments, Inc. (listed 2021-07-27, absent 2021-08-12)Aug 12, 2021 · Control person left · inference
- Gerald P. Plush (Director) appeared on Schedule A of Amerant Investments, Inc.Jul 27, 2021 · Control person joined · fact
- Alfonso Figueredo (Director) no longer on Schedule A of Amerant Investments, Inc. (listed 2021-04-14, absent 2021-07-27)Jul 27, 2021 · Control person left · inference
- William Millar Wilson (Director) no longer on Schedule A of Amerant Investments, Inc. (listed 2021-04-14, absent 2021-07-27)Jul 27, 2021 · Control person left · inference
- Amerant Investments, Inc. reported 10 offices beyond its principal office, up from 0 (2020-10-27 to 2021-03-26)Mar 26, 2021 · Office count change · derived
- Juan C. Ariza (Cco) appeared on Schedule A of Amerant Investments, Inc.Oct 27, 2020 · Control person joined · fact
- Carlos Iafigliola (Director) appeared on Schedule A of Amerant Investments, Inc.Oct 27, 2020 · Control person joined · fact
- Raphael Enrique Vina (Managing Principal & Cco) no longer on Schedule A of Amerant Investments, Inc. (listed 2020-06-26, absent 2020-10-27)Oct 27, 2020 · Control person left · inference
- Sergio Emiliano Mr. Guerrero (Managing Principal & Finop) appeared on Schedule A of Amerant Investments, Inc.Oct 27, 2020 · Control person joined · fact
- Alberto Peraza (Director) no longer on Schedule A of Amerant Investments, Inc. (listed 2019-07-29, absent 2020-03-31)Mar 31, 2020 · Control person left · inference
- Eduardo Enrique Bello (President & Ceo) no longer on Schedule A of Amerant Investments, Inc. (listed 2019-03-29, absent 2019-07-29)Jul 29, 2019 · Control person left · inference
- Pedro Raul Parra (Director) no longer on Schedule A of Amerant Investments, Inc. (listed 2019-03-29, absent 2019-07-29)Jul 29, 2019 · Control person left · inference
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/amerantbankreportedpublic record, Form ADV, Sep 17, 2026
- Website
- amerantinvestments.marstone.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 305-460-8599reportedpublic record, Form ADV, Apr 22, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $37.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026