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
Oriental Financial Services LLC
Latest filing Mar 30, 2026
First filing on the tape Mar 31, 2015 · 22 filings
SEC status approved since Apr 23, 2015
RAUM
$420M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
47%
$199M individuals and HNW
Advisors
12
registered through the firm on IAPD
RAUM per advisor
$35.0M
derived; firm RAUM over IAPD count
Employees
28
11 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$420M as of Mar 30, 2026
Mar 30, 2016$119M then
HNW client RAUM$125M as of Mar 30, 2026
Mar 30, 2018$4.8M then
State-registered IARs (5.B.3)11 as of Mar 30, 2026
Mar 30, 201647 then
Employees (5.A)28 as of Mar 30, 2026
Mar 30, 201647 then
Private funds: no history
RAUM +16% over the last fiscal year+31% a year over threeIARs 12 to 11offices 5 to 3
Practice profile
derived from the filing of Mar 30, 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)
- RAUM per advisor
- $35.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 32derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.4MderivedHNW RAUM over HNW clients
- Average account
- $896,487derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 5.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- -8.3%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -6.6%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- otherreportedItem 5.G
- 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)
- controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Corporations and businesses$196M47%
- High-net-worth individuals$125M30%
- Individuals$74.1M18%
- State and municipal entities$24.1M5.8%
- Pension and profit-sharing plans$503,4890.1%
- Charitable organizations$22,6290.0%
- Individual clients
- 347reported
- HNW clients
- 37reported
- Pension plan clients
- 1reported
- Charitable clients
- 1reported
- Accounts
- 468reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.47 fund_share=0.0 institutional_share=0.06 related_bd=true related_bank=false bd_reps=18.0derived
Advisors registered through the firm
12 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Rafael Enrique Kodesh Alegria | Guaynabo, Pr | Feb 10, 2021 | 29 y | 0 |
| Sergio AndréS Moure Torres | San Juan, Pr | Feb 10, 2021 | 22 y | 0 |
| Hector Luis Colon Rivera | San Juan, Pr | Mar 9, 2021 | 22 y | 0 |
| Manuel Jose Garrido Portela | San Juan, Pr | Apr 5, 2021 | 29 y | 0 |
| Clara Isabel Fernandez Colorado | San Juan, Pr | Apr 13, 2021 | 33 y | 0 |
| Alexis J. Crespo Perez | San Juan, Pr | May 6, 2021 | 21 y | 0 |
| Alejandro Miguel Pascual Navarro | San Juan, Pr | Aug 24, 2021 | 23 y | 0 |
| Mariela Torres | San Juan, Pr | Jun 2, 2022 | 25 y | 2 |
| Casto Miguel Colldelrio | San Juan, Pr | Jul 29, 2022 | 24 y | 1 |
| Vicente Andres Garcia | San Juan, Pr | Feb 14, 2023 | 14 y | 2 |
| Joel Martinez Navarro | San Juan, Pr | May 21, 2025 | 13 y | 1 |
| Joel Alexander Jarrin Pacheco | San Juan, Pr | Jul 15, 2025 | 11 y | 0 |
Advisor movement
3 left, 0 joined in 12 months
net -3 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 25% of current headcount3 left over 36 months
Left, latest
- Marcos A. Sanz Madera to Cetera Investment Advisers LLCDec 3, 2025 · RIA to affiliated broker-dealer or bank
- Jeffrey J. Lapetina Mafuz to Npa Asset Management, LLCNov 6, 2025 · RIA to affiliated broker-dealer or bank
- Juan Jose Santiago Marrero to Cetera Investment Advisers LLCOct 28, 2025 · RIA to affiliated broker-dealer or bank
- Mayra Alejandra Corrada Fernandez to Popular Securities, LLCMar 24, 2021 · RIA to RIA
- Roberto Javier Santos Carro to Herbert J. Sims Capital Management, Inc.Feb 25, 2020 · RIA to RIA
- Manuel Escobar to Npa Asset Management, LLCNov 13, 2019 · RIA to RIA
- Sandra Ramos to J.P. Morgan Securities LLCMar 8, 2019 · RIA to wirehouse
- Guillermo Santiago to Npa Asset Management, LLCJul 3, 2017 · Other
- Fernando J. Del Llano Sobrino to Npa Asset Management, LLCMar 6, 2017 · Other
- Lixanelle Roman Valentin to Merrill Lynch, Pierce, Fenner & Smith IncorporatedSep 9, 2016 · Other
- Lorenzo A Delgado Bustamante to Kovack Advisors, Inc.May 13, 2016 · Other
- Francisco Javier Fernandez Leon to Cetera Investment Advisers LLCNov 9, 2015 · Other
Joined, latest
- Joel Martinez Navarro from Popular Securities, LLCMay 21, 2025 · RIA to RIA
- Vicente Andres Garcia from Equitable Advisors, LLCFeb 14, 2023 · Affiliated broker-dealer or bank to independent RIA
- Casto Miguel Colldelrio from UBS Financial Services Inc.Jul 29, 2022 · Wirehouse to independent RIA
- Mariela Torres from Vauban Wealth ManagementJun 2, 2022 · RIA to RIA
- Mayra Alejandra Corrada Fernandez from UBS Financial Services Inc.Jan 25, 2019 · Wirehouse to independent RIA
- Guillermo Santiago from Wells Fargo AdvisorsDec 8, 2015 · Other
- Sandra Ramos from Wells Fargo AdvisorsDec 7, 2015 · Other
- Lorenzo A Delgado Bustamante from Amerant Investments, Inc.Dec 7, 2015 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Jose Rafael Fernandez Martinez · Options Principal, And Directorcontrolsince 11/2014 · owns less than 5%
- Ganesh Kumar · Directorcontrolsince 08/2012 · owns less than 5%
- Glenda L. Munoz Galarza · Financial And Operations Managercontrolsince 12/2017 · owns less than 5%
- Alejandro Miguel Pascual Navarro · President & Sales Managercontrolsince 10/2021 · owns less than 5%
- Carlos O. Esq. Souffront · Directorcontrolsince 11/2013 · owns less than 5%
- Mariela Torres · Chief Compliance Officercontrolsince 05/2022 · owns less than 5%
Entity owners
- Ofg Bancorp · Parent Company , Memberdirect · owns 75% or more · public reporting company
Related persons
Schedule D 7.A
- Ofg Bancorpy
- Ofg USA LLCn
- Oriental Bankinvestment advisern
- Oriental Insurance LLCreal estaten
- Oriental International Bank, Inc.n
- Oriental Pension Consultants, Inc.LP sponsorn
Advisers that list Oriental Financial Services LLC as a related person
- 312982 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| San Juan, Pr · principal | 12 | 0 | 3 | ||
| Guaynabo, Pr | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Guaynabo, PR1 employees
- San Juan, PR1 employees
- Guaynabo, PR1 employees
- San Juan, PR1 employees
- Ponce, PR1 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Mar 30, 2026discretionary share of RAUM of 0% against a peer median of 100% (5676 comparable advisers, 0.0th percentile, 33.7 robust deviations)peers: independent wealth managers, $100M to $500M (5,676) · 0.0% percentile
- office count dropChange between filings · filing Mar 30, 2026offices other than the principal office (Item 1.F.5) moved from 5.0 to 3.0 (-40.0%) between the annual amendments of 2025-03-31 and 2026-03-30; the peer median change was 0.0% (450 comparable advisers, 4.0th percentile of changes)peers: independent wealth managers, $100M to $500M (450) · 4.5% percentile
What changed
consecutive filings, newest first
- Accounts · 486 to 468Mar 31, 2025 to Mar 30, 2026
- Advisory employees · 12 to 11Mar 31, 2025 to Mar 30, 2026
- Corporate clients · 70 to 80Mar 31, 2025 to Mar 30, 2026
- HNW clients · 35 to 37Mar 31, 2025 to Mar 30, 2026
- Individual clients · 376 to 347Mar 31, 2025 to Mar 30, 2026
- Pension plan clients · 2 to 1Mar 31, 2025 to Mar 30, 2026
- Employees · 30 to 28Mar 31, 2025 to Mar 30, 2026
- State-registered IARs · 12 to 11Mar 31, 2025 to Mar 30, 2026
- Other offices · 5 to 3Mar 31, 2025 to Mar 30, 2026
- HNW RAUM · $104M to $125MMar 31, 2025 to Mar 30, 2026
- Individual RAUM · $77.9M to $74.1MMar 31, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $361M to $420MMar 31, 2025 to Mar 30, 2026
- Pension RAUM · $777,957 to $503,489Mar 31, 2025 to Mar 30, 2026
- RAUM · $361M to $420MMar 31, 2025 to Mar 30, 2026
- Accounts · 469 to 486Mar 29, 2024 to Mar 31, 2025
- Advisory employees · 11 to 12Mar 29, 2024 to Mar 31, 2025
- Corporate clients · 63 to 70Mar 29, 2024 to Mar 31, 2025
- HNW clients · 26 to 35Mar 29, 2024 to Mar 31, 2025
- Individual clients · 374 to 376Mar 29, 2024 to Mar 31, 2025
- Pension plan clients · 4 to 2Mar 29, 2024 to Mar 31, 2025
- Employees · 28 to 30Mar 29, 2024 to Mar 31, 2025
- Financial planning clients · 0 to 0Mar 29, 2024 to Mar 31, 2025
- State-registered IARs · 11 to 12Mar 29, 2024 to Mar 31, 2025
- HNW RAUM · $58.3M to $104MMar 29, 2024 to Mar 31, 2025
- Individual RAUM · $74.0M to $77.9MMar 29, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $284M to $361MMar 29, 2024 to Mar 31, 2025
- Pension RAUM · $747,034 to $777,957Mar 29, 2024 to Mar 31, 2025
- RAUM · $284M to $361MMar 29, 2024 to Mar 31, 2025
- Wrap assets (manager) · 0.0 to unsetMar 29, 2024 to Mar 31, 2025
- Wrap assets (sponsor) · 225849607.0 to unsetMar 29, 2024 to Mar 31, 2025
- Accounts · 439 to 469Mar 31, 2023 to Mar 29, 2024
- BD registered reps · 28 to 18Mar 31, 2023 to Mar 29, 2024
- Corporate clients · 42 to 63Mar 31, 2023 to Mar 29, 2024
- Individual clients · 366 to 374Mar 31, 2023 to Mar 29, 2024
- Other offices · 6 to 5Mar 31, 2023 to Mar 29, 2024
- HNW RAUM · $52.9M to $58.3MMar 31, 2023 to Mar 29, 2024
- Individual RAUM · $67.0M to $74.0MMar 31, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $189M to $284MMar 31, 2023 to Mar 29, 2024
- Pension RAUM · $622,610 to $747,034Mar 31, 2023 to Mar 29, 2024
- RAUM · $189M to $284MMar 31, 2023 to Mar 29, 2024
Signals
11 dated events
- Marcos A. Sanz Madera left Oriental Financial Services Llc for Cetera Investment Advisers Llc (registered 2025-12-08)Dec 3, 2025 · Advisor changed firm · fact
- Jeffrey J. Lapetina Mafuz left Oriental Financial Services Llc for Npa Asset Management, Llc (registered 2025-12-01)Nov 6, 2025 · Advisor changed firm · fact
- Juan Jose Santiago Marrero left Oriental Financial Services Llc for Cetera Investment Advisers Llc (registered 2025-10-13)Oct 28, 2025 · Advisor changed firm · fact
- Mariela Torres (Chief Compliance Officer) appeared on Schedule A of Oriental Financial Services LlcAug 27, 2022 · Control person joined · fact
- Sonia Emilia Marbarak (Chief Compliance Officer) no longer on Schedule A of Oriental Financial Services Llc (listed 2021-03-30, absent 2022-03-30)Mar 30, 2022 · Control person left · inference
- Alejandro Miguel Pascual Navarro (President & Sales Manager) appeared on Schedule A of Oriental Financial Services LlcMar 30, 2022 · Control person joined · fact
- Sean Warren Miles Barbosa (President) no longer on Schedule A of Oriental Financial Services Llc (listed 2021-03-30, absent 2022-03-30)Mar 30, 2022 · Control person left · inference
- Oriental Financial Services Corp. reported succeeding to the business of Another Adviser (Form ADV Item 4)Jan 10, 2020 · Succession (Item 4) · fact
- Oriental Financial Services Llc reported 19 state-registered advisory representatives, up from 0 (2018-02-06 to 2018-03-30)Mar 30, 2018 · Advisor headcount change · derived
- Oriental Financial Services Llc reported 0 state-registered advisory representatives, down from 43 (2017-03-31 to 2018-02-06)Feb 6, 2018 · Advisor headcount change · derived
- Oriental Financial Services Corp. filed its initial SEC registration (Form ADV)Mar 31, 2015 · First SEC registration · fact
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
- ORIENTALBANK.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 787-474-1993reportedpublic record, Form ADV, Mar 30, 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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $35.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026