Arturo Diaz is a registered investment advisor at Riwm, LLC, based in Coral Gables, FL, with 41 years of industry experience. Arturo operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Investment Management. Their firm serves 73 clients with $48M in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $250K | 2.50% |
| $250K - $1.0M | 1.50% |
| $1.0M - $2.5M | 1.00% |
| $2.5M+ | 0.50% |
Fees may be negotiable. Discounts may be offered to family members and friends of associated persons of the firm.
Fee Estimator
Location
2655 Le Jeune Road, Suite 916, Coral Gables, FL, 33134
Get directionsHistory
Regulatory History (4)
Regulatory
July 2015Customer Dispute
September 2003Customer Dispute
April 2003Customer Dispute
April 1990Other Business Activities
Arturo conducts RIA business through RIWM LLC in Coral Gables, Florida. This activity is investment-related.
Employment History
Current Registrations
Riwm, LLC
Aegis Capital CORP.
Aegis Capital CORP.Broker
Previous Registrations
Capital Guardian Wealth Management, LLC
Capital Guardian, LLCBroker
Riwm, LLC
Global Investor Services, L.C.Broker
Rehmann Financial
Royal Alliance Associates, INC.Broker
Oppenheimer & CO. INC.
Oppenheimer & CO. INC.Broker
Oppenheimer & CO. INC.
Stanford Group Company
Stanford Group CompanyBroker
Banc of America Investment Services, INC.
Banc of America Investment Services, INC.Broker
Prudential Securities Incorporated
Prudential Securities IncorporatedBroker
Dean Witter Reynolds INC.Broker
Lehman Brothers INC.Broker
E. F. Hutton & Company INCBroker
Painewebber IncorporatedBroker
State Registrations3 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.