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.

Former SEC-registered adviser

Pariter Wealth Management Group LLC

Former SEC-registered adviserGuaynabo, PRCRD 146622SEC 801-69079IAPD
Latest filing Jun 20, 2019
First filing on the tape Mar 29, 2012 · 20 filings
RAUM
$41.2M
reported, Item 5.F
Discretionary
92%
of RAUM
Private clients
50%
$20.5M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$13.7M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$41.2M as of Mar 28, 2019
Mar 29, 2012$86.5M then
HNW client RAUM$7.7M as of Mar 28, 2019
Mar 30, 2018$32.3M then
State-registered IARs (5.B.3)2 as of Mar 28, 2019
Mar 6, 20132 then
Employees (5.A)3 as of Mar 28, 2019
Mar 6, 20134 then
Private funds: no history
RAUM -20% over the last fiscal year-34% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Jun 20, 2019; every figure names its basis
RAUM per advisor
$13.7MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
27derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$153,421derivedHNW RAUM over HNW clients
Average account
$286,158derivedRAUM over accounts (5.F.2.f)
Discretionary
92%derivedof RAUM
Institutional
20%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-20%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-45%derived
Compensation
percentage of assets, hourlyreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, educational seminarsreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • is a broker-dealer (6.A.1)
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$12.8M38%
  • Pension and profit-sharing plans$8.3M25%
  • High-net-worth individuals$7.7M23%
  • Corporations and businesses$4.8M14%
Individual clients
32reported
HNW clients
50reported
Pension plan clients
45reported
Charitable clients
n/areported
Accounts
144reported
Financial planning clients
26-50reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
3 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
Braulio Luis Nieves RomanGuaynabo, PrJan 22, 201622 y2
Francisco Jose Rivera FernandezGuaynabo, PrFeb 3, 201627 y2
Eduardo Sotomayor AlamoGuaynabo, PrJul 16, 201910 y0
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Jose Francisco Rivera · Presidentcontrol
      since 02/2008 · owns 75% or more
    • Eduardo Sotomayor Alamo · Chief Compliance Officercontrol
      since 03/2016 · owns less than 5%
    Related persons
    Schedule D 7.A
    Advisers that list Pariter Wealth Management Group LLC as a related person
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Guaynabo, Pr · principal300
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 233 to 144
      Jul 30, 2018 to Mar 28, 2019
    • Corporate clients · 8 to 6
      Jul 30, 2018 to Mar 28, 2019
    • HNW clients · 119 to 50
      Jul 30, 2018 to Mar 28, 2019
    • Individual clients · 31 to 32
      Jul 30, 2018 to Mar 28, 2019
    • Pension plan clients · 67 to 45
      Jul 30, 2018 to Mar 28, 2019
    • Discretionary RAUM · $47.5M to $37.9M
      Jul 30, 2018 to Mar 28, 2019
    • HNW RAUM · $32.3M to $7.7M
      Jul 30, 2018 to Mar 28, 2019
    • Individual RAUM · $2.6M to $12.8M
      Jul 30, 2018 to Mar 28, 2019
    • Non-discretionary RAUM · $4.1M to $3.3M
      Jul 30, 2018 to Mar 28, 2019
    • Pension RAUM · $13.1M to $8.3M
      Jul 30, 2018 to Mar 28, 2019
    • RAUM · $51.6M to $41.2M
      Jul 30, 2018 to Mar 28, 2019
    • Accounts · 547 to 233
      Mar 29, 2017 to Mar 30, 2018
    • Advisory employees · 3 to 2
      Mar 29, 2017 to Mar 30, 2018
    • BD registered reps · 5 to 3
      Mar 29, 2017 to Mar 30, 2018
    • Corporate clients · unset to 8.0
      Mar 29, 2017 to Mar 30, 2018
    • HNW clients · unset to 119.0
      Mar 29, 2017 to Mar 30, 2018
    • Individual clients · unset to 31.0
      Mar 29, 2017 to Mar 30, 2018
    • Pension plan clients · unset to 67.0
      Mar 29, 2017 to Mar 30, 2018
    • Employees · 5 to 3
      Mar 29, 2017 to Mar 30, 2018
    • State-registered IARs · 3 to 2
      Mar 29, 2017 to Mar 30, 2018
    • Other offices · unset to 0.0
      Mar 29, 2017 to Mar 30, 2018
    • Discretionary RAUM · $147M to $47.5M
      Mar 29, 2017 to Mar 30, 2018
    • HNW RAUM · unset to 32340109.0
      Mar 29, 2017 to Mar 30, 2018
    • Individual RAUM · unset to 2618769.0
      Mar 29, 2017 to Mar 30, 2018
    • Non-discretionary RAUM · $345,000 to $4.1M
      Mar 29, 2017 to Mar 30, 2018
    • Pension RAUM · unset to 13080500.0
      Mar 29, 2017 to Mar 30, 2018
    • RAUM · $147M to $51.6M
      Mar 29, 2017 to Mar 30, 2018
    • Accounts · 464 to 547
      Dec 8, 2016 to Mar 29, 2017
    • Discretionary RAUM · $141M to $147M
      Dec 8, 2016 to Mar 29, 2017
    • Non-discretionary RAUM · $0 to $345,000
      Dec 8, 2016 to Mar 29, 2017
    • RAUM · $141M to $147M
      Dec 8, 2016 to Mar 29, 2017
    • Accounts · 145 to 464
      Jan 22, 2016 to Mar 11, 2016
    • BD registered reps · 3 to 5
      Jan 22, 2016 to Mar 11, 2016
    • Employees · 4 to 5
      Jan 22, 2016 to Mar 11, 2016
    • Discretionary RAUM · $148M to $141M
      Jan 22, 2016 to Mar 11, 2016
    • RAUM · $148M to $141M
      Jan 22, 2016 to Mar 11, 2016
    • Accounts · 128 to 145
      Jan 14, 2015 to Mar 26, 2015
    • Advisory activities · 3 to 4
      Jan 14, 2015 to Mar 26, 2015
    • BD registered reps · 4 to 3
      Jan 14, 2015 to Mar 26, 2015
    • Employees · 5 to 4
      Jan 14, 2015 to Mar 26, 2015
    Signals
    No event on the tape.
    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
    Website
    PARITERWMG.COMreportedpublic record, Form ADV, Sep 18, 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
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    $13.7Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026