Registered investment advisers: portfolio management, financial and retirement planning.
This category lists registered investment advisers based in Puerto Rico: firms that manage portfolios and give financial, retirement and investment planning advice for a fee. If you are moving to Puerto Rico under an Act 60 decree or bringing savings and investments with you, a local adviser can manage your accounts from the island.
Investment advisers in Puerto Rico are regulated by the Office of the Commissioner of Financial Institutions (OCIF) under the Puerto Rico Uniform Securities Act (Law 60 of 1963, which is not the same as the Act 60 incentives code). Smaller advisers register with OCIF; larger ones register with the U.S. Securities and Exchange Commission (SEC) and file a notice in Puerto Rico. Either way, the firm, its Form ADV brochure and any disciplinary disclosures appear in the SEC investment adviser search (IAPD).
We only list firms we found active in that search with no reported disclosures, and each listing's verification note gives the firm's CRD number and where it is registered. Brokers who sell securities on commission are a different kind of firm; you can check them in FINRA BrokerCheck.
Before hiring an adviser, read its Form CRS, a short summary of services, fees and conflicts of interest (see the SEC's guide to Form CRS). Ask how it is paid, who holds your assets (the custodian), and whether there is an account minimum. Browse every provider in the directory filtered to wealth managers.
Wealth managers & financial advisors · Guaynabo, PR
Wealth managers & financial advisors · San Juan, PR
Wealth managers & financial advisors · San Juan, PR
Wealth managers & financial advisors · San Juan, PR
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4 of 4 listings on the map; 2 at an approximate location (town center, grey marker). © OpenStreetMap
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An investment adviser gives advice or manages your portfolio for a fee and owes you a fiduciary duty. A broker-dealer buys and sells securities for you and is usually paid per transaction. Some firms do both. A firm's Form CRS explains which services it offers and how it is paid.
Search the firm or the individual adviser by name or CRD number in the SEC's investment adviser search (adviserinfo.sec.gov). It shows whether the firm is registered with the SEC or with Puerto Rico's OCIF, its Form ADV brochure and any disciplinary history. For brokers, use FINRA BrokerCheck.
The Office of the Commissioner of Financial Institutions (OCIF) administers the Puerto Rico Uniform Securities Act. Advisers below the SEC's size threshold register with OCIF; larger advisers register with the SEC and file a notice with OCIF.
No. Decree compliance (residency, the annual report and other conditions) is a legal and tax matter for a Puerto Rico attorney or CPA. A wealth manager can manage your investments and coordinate with them, but it does not replace them.
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