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Arturo Diaz

Riwm, LLC
41 Years of Experience
Coral Gables, FL
4 DisclosuresBroker
View SEC Summary
View SEC Summary

Arturo Diaz is a registered investment advisor at Riwm, LLC, based in Coral Gables, FL, with 41 years of industry experience. Arturo is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management. Their firm serves 99 clients with $59M in assets under management.

Riwm, LLC
Compensation
Fee-Only (% of Portfolio)
Firm Size
3 advisors
Number of Clients
99 clients
Average Client Portfolio
$596K average
Assets Under Management
$59.0M

Fee Structure

Minimum Investment:$100K
Investment management only (planning not offered)
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $100K2.50%
$100K - $250K2.50%
$250K - $1.0M1.50%
$1.0M - $2.5M1.00%
$2.5M+0.50%

Fees are negotiable on a client-by-client basis. The firm may group related accounts to meet minimum requirements.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

2655 Le Jeune Road, Suite 916, Coral Gables, FL, 33134

Get directions

History

Regulatory History (4)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Regulatory
July 2015
Final
Customer Dispute
September 2003
Denied
Customer Dispute
April 2003
Denied
Customer Dispute
April 1990
Award / Judgment
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Arturo conducts RIA business through RIWM LLC in Coral Gables, Florida. This activity is investment-related.

Employment History
Current Registrations
Riwm, LLC
April 2025 - Present · 1 yr 6 mos
Aegis Capital CORP.
June 2015 - Present · 11 yrs 4 mos
Aegis Capital CORP.Broker
June 2015 - Present · 11 yrs 4 mos
Previous Registrations
Capital Guardian Wealth Management, LLC
December 2013 - July 2015 · 1 yr 7 mos
Capital Guardian, LLCBroker
August 2012 - July 2015 · 2 yrs 11 mos
Riwm, LLC
April 2012 - December 2024 · 12 yrs 8 mos
Global Investor Services, L.C.Broker
January 2011 - August 2012 · 1 yr 7 mos
Rehmann Financial
August 2010 - September 2012 · 2 yrs 1 mo
Royal Alliance Associates, INC.Broker
April 2010 - January 2011 · 9 mos
Oppenheimer & CO. INC.
March 2009 - April 2010 · 1 yr 1 mo
Oppenheimer & CO. INC.Broker
March 2009 - April 2010 · 1 yr 1 mo
Oppenheimer & CO. INC.
March 2009 - March 2009 · 0 mos
Stanford Group Company
March 2006 - March 2009 · 3 yrs
Stanford Group CompanyBroker
February 2006 - March 2009 · 3 yrs 1 mo
Banc of America Investment Services, INC.
February 2003 - February 2006 · 3 yrs
Banc of America Investment Services, INC.Broker
February 2003 - February 2006 · 3 yrs
Prudential Securities Incorporated
January 1997 - February 2003 · 6 yrs 1 mo
Prudential Securities IncorporatedBroker
March 1996 - February 2003 · 6 yrs 11 mos
Dean Witter Reynolds INC.Broker
September 1990 - March 1996 · 5 yrs 6 mos
Lehman Brothers INC.Broker
February 1988 - October 1990 · 2 yrs 8 mos
E. F. Hutton & Company INCBroker
February 1987 - February 1988 · 1 yr
Painewebber IncorporatedBroker
September 1984 - January 1987 · 2 yrs 4 mos
State Registrations3 states
DEFLPR
AdvisorBrokerBoth

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.

Exams
No exam information available for this advisor.
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